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 |
|---|---|---|---|---|---|---|---|---|
| Richard Preston Tonkinson | 2178590 | 3 | 10/20/2008 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| James J Quinlan | 4125823 | 1 | 10/17/2008 | Customer Dispute | Denied | $8,655.00 | $0.00 | See FINRA Report |
| Lori Ann Williams | 3019916 | 2 | 10/16/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Troy Jean Aucoin | 4491926 | 3 | 10/14/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Lori Ann Williams | 3019916 | 2 | 10/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher M Moran | 4249353 | 2 | 10/02/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Robert Charles Piscura | 1026461 | 2 | 09/29/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Christopher Noel Eller | 2167629 | 1 | 09/08/2008 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |
| Alan Testa | 4850901 | 2 | 09/04/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Eric Paul Martin | 2651433 | 1 | 09/02/2008 | Customer Dispute | Denied | $6,800.00 | $0.00 | See FINRA Report |