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 |
|---|---|---|---|---|---|---|---|---|
| Harriett Elizabeth Barnes | 3219908 | 1 | 02/21/2007 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| Frederick James Harkins | 3074965 | 1 | 02/21/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Dale Eugene Kramer | 1255103 | 2 | 02/15/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dennis L Morin | 1609556 | 2 | 02/01/2007 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Barbara Lynn Allison | 2200482 | 1 | 12/18/2006 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| Kevin Patrick Carbin | 1489347 | 1 | 12/14/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nancy Leigh Kornblum | 3134533 | 1 | 12/07/2006 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Bradley William Pratt | 1129498 | 1 | 11/22/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Gerald Deruyver | 2401506 | 3 | 09/05/2006 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Michael Howard Hefner | 2949943 | 1 | 08/30/2006 | Customer Dispute | Award / Judgment | $0.00 | $215,625.00 | See FINRA Report |