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 |
|---|---|---|---|---|---|---|---|---|
| Dale Eugene Kramer | 1255103 | 2 | 12/04/2008 | Customer Dispute | Denied | $14,618.00 | $0.00 | See FINRA Report |
| Ray Darby Evans | 1304889 | 1 | 12/01/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Deborah Lyn Lane | 2187967 | 1 | 12/01/2008 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Kim Resendes George | 3172289 | 1 | 11/25/2008 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| John Edward Potter | 2550060 | 2 | 11/17/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Edward Prue | 2129636 | 2 | 11/13/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Sean George Brown | 1965352 | 2 | 11/12/2008 | Customer Dispute | Settled | $42,213.90 | $0.00 | See FINRA Report |
| Robert Nicholas Zerah | 2209431 | 2 | 11/07/2008 | Customer Dispute | Settled | $5,740.00 | $0.00 | See FINRA Report |
| Sean George Brown | 1965352 | 2 | 11/04/2008 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Michael David Lambrix | 4310513 | 3 | 10/27/2008 | Customer Dispute | Denied | $44,557.00 | $0.00 | See FINRA Report |