Our Staff has compiled our research into a database of FINRA Broker Disclosures for Commonwealth Financial Network. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Robert Emmett Tubridy Jr | 4509256 | 2 | 11/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Lou Cousineau | 4896204 | 1 | 11/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Graham John Wilson | 1197343 | 2 | 11/18/2014 | Customer Dispute | Settled | $239,937.00 | $0.00 | See FINRA Report |
| Michael Kessler | 1274021 | 1 | 11/17/2014 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Jeffrey Ward Nolan | 1330454 | 1 | 11/04/2014 | Customer Dispute | Settled | $6,590.59 | $0.00 | See FINRA Report |
| Michael T Lucenti | 3127904 | 1 | 10/23/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bryan Matthew Saylor | 4773858 | 1 | 10/16/2014 | Customer Dispute | Denied | $6,532.28 | $0.00 | See FINRA Report |
| David William Hart | 4503764 | 2 | 08/18/2014 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Matthew Hooker | 5852407 | 1 | 08/13/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David William Hart | 4503764 | 2 | 07/22/2014 | Customer Dispute | Award / Judgment | $3,800,000.00 | $725,000.00 | See FINRA Report |