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 |
|---|---|---|---|---|---|---|---|---|
| Troy Jean Aucoin | 4491926 | 3 | 02/04/2009 | Customer Dispute | Denied | $83,224.00 | $0.00 | See FINRA Report |
| Stevan A Rexroad | 1984707 | 1 | 01/29/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael John Greve | 2146444 | 1 | 01/26/2009 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Roger Lynn Merrill | 803094 | 1 | 01/22/2009 | Customer Dispute | Settled | $4,348,370.00 | $0.00 | See FINRA Report |
| Francesca Maria Banci | 1520988 | 1 | 01/06/2009 | Customer Dispute | Denied | $575,000.00 | $0.00 | See FINRA Report |
| Neal Jeffrey Martin | 1221285 | 1 | 01/05/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David M Workman | 6276963 | 1 | 12/26/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Brian Doherty | 2555439 | 1 | 12/16/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Steele | 2066976 | 1 | 12/15/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond James Krusic | 2084930 | 1 | 12/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |