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 |
|---|---|---|---|---|---|---|---|---|
| David Mark Gold | 2083399 | 1 | 09/15/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Howells Scott | 3194163 | 1 | 09/14/2009 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Douglas Anthony Didominica | 2801817 | 1 | 08/19/2009 | Customer Dispute | Settled | $96,287.70 | $0.00 | See FINRA Report |
| Marcus Gil Pinnock | 1785733 | 2 | 08/17/2009 | Customer Dispute | Settled | $46,000.00 | $0.00 | See FINRA Report |
| Richard Michael Baker | 1271083 | 1 | 08/14/2009 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| James Joseph Galante | 4310538 | 1 | 08/12/2009 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Joseph David Matza | 2871649 | 1 | 07/30/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Shawn Anthony Maloney | 6148072 | 3 | 06/26/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Adam Williams | 3019111 | 2 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vincent Carl Feijoo | 4188945 | 2 | 06/05/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |