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 |
|---|---|---|---|---|---|---|---|---|
| Lauren Campbell | 6622911 | 1 | 06/01/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Francis Tortis | 4736203 | 1 | 05/29/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Malcolm David Walker | 2865657 | 2 | 05/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Nicholas Zerah | 2209431 | 2 | 05/01/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Allen Weller | 2207115 | 1 | 04/28/2009 | Customer Dispute | Denied | $118,500.00 | $0.00 | See FINRA Report |
| John Francis Walsh | 2386920 | 2 | 04/22/2009 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Elizabeth Ann Thorley | 1624563 | 1 | 04/22/2009 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Cummings | 2162075 | 1 | 04/20/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Colleen Hartmon Bollom | 2800847 | 1 | 04/17/2009 | Customer Dispute | Denied | $29,202.00 | $0.00 | See FINRA Report |
| Raymond George Dodson | 1660476 | 1 | 04/15/2009 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |