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 |
|---|---|---|---|---|---|---|---|---|
| Nicole Francis | 1685116 | 3 | 10/03/2007 | Customer Dispute | Denied | $540.00 | $0.00 | See FINRA Report |
| John Barrett Steiger | 2206284 | 1 | 09/13/2007 | Customer Dispute | Denied | $127,301.00 | $0.00 | See FINRA Report |
| Suzanne Ross Street Banzet | 3185032 | 1 | 08/12/2007 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 08/12/2007 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |
| Steven Robert Larson | 2471027 | 1 | 07/30/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Conrad Robert Pensavalle | 717575 | 2 | 06/14/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alger Gary Osentoski | 1785707 | 1 | 04/27/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Erle Mark Petrie | 1943839 | 2 | 04/27/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nels Clifford Nelson | 2263938 | 1 | 03/14/2007 | Customer Dispute | Denied | $5,870.00 | $0.00 | See FINRA Report |
| Jodi M Woodruff | 2903880 | 1 | 03/01/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |