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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Adam Williams | 3019111 | 2 | 04/01/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Geoffrey D McCarthy | 4617462 | 1 | 03/31/2009 | Customer Dispute | Settled | $12,149.10 | $0.00 | See FINRA Report |
| John Howley Whalen | 1900188 | 3 | 03/25/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael David Lambrix | 4310513 | 3 | 03/20/2009 | Customer Dispute | Denied | $11,300.00 | $0.00 | See FINRA Report |
| Robert John McMahon | 4295418 | 1 | 03/16/2009 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Beth Lipman Westburg | 3238006 | 1 | 03/10/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Robert Owen Smith | 1364003 | 1 | 02/25/2009 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| John Richard Pratti | 4472691 | 1 | 02/24/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Robb | 1539520 | 1 | 02/20/2009 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Michael John Westerman | 2543980 | 1 | 02/11/2009 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |