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 |
|---|---|---|---|---|---|---|---|---|
| Christine Anne Heuston | 5597476 | 1 | 01/07/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Benjamin Kenneth Minard | 5807070 | 1 | 12/31/2013 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Peter Steven Coopersmith | 1256315 | 1 | 11/15/2013 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| Joanne Defranco Astle | 851648 | 4 | 10/22/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 10/15/2013 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See FINRA Report |
| William Joseph Hastie | 1389076 | 1 | 09/20/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Decarla Shevon Reed | 4214466 | 2 | 07/31/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn Anthony Maloney | 6148072 | 3 | 07/27/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Jon Purkey | 4337588 | 1 | 07/25/2013 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Joseph Kevin Bannon | 3129595 | 1 | 07/08/2013 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |