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 |
|---|---|---|---|---|---|---|---|---|
| Harsh Mehra | 3024860 | 4 | 10/25/2010 | Customer Dispute | Denied | $840,324.00 | $0.00 | See FINRA Report |
| Jerome Henry Sullivan | 1569145 | 1 | 10/21/2010 | Customer Dispute | Settled | $14,354.20 | $0.00 | See FINRA Report |
| William Watkins Peerman | 1238636 | 1 | 09/17/2010 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Armand Groat | 2133221 | 1 | 09/15/2010 | Customer Dispute | Denied | $40,340.00 | $0.00 | See FINRA Report |
| Joseph Kenneth Edwins | 2356890 | 2 | 09/03/2010 | Customer Dispute | Denied | $11,512.70 | $0.00 | See FINRA Report |
| Joseph Kenneth Edwins | 2356890 | 2 | 09/02/2010 | Customer Dispute | Denied | $34,274.30 | $0.00 | See FINRA Report |
| Ralph Bertram Williams | 866490 | 1 | 08/23/2010 | Customer Dispute | Denied | $44,000.00 | $0.00 | See FINRA Report |
| John Jay Higgins | 1622053 | 1 | 07/29/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Darin James Pierce | 2511075 | 1 | 06/25/2010 | Customer Dispute | Award / Judgment | $24,370.00 | $3,000.00 | See FINRA Report |
| Michael Louis Stone | 2989366 | 1 | 06/01/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |