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 |
|---|---|---|---|---|---|---|---|---|
| Gary Lee Bragg | 2004855 | 1 | 02/21/2006 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| Jonathan Treat Lewis | 1616945 | 2 | 01/24/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Clark Hutchinson | 1413128 | 1 | 10/27/2005 | Customer Dispute | Denied | $5,200.00 | $0.00 | See FINRA Report |
| David Lane Gabay | 1032946 | 2 | 10/27/2005 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Kerri M Sullivan-Kreiss | 2141713 | 1 | 10/25/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harsh Mehra | 3024860 | 4 | 10/21/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Harsh Mehra | 3024860 | 4 | 10/06/2005 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Patrick W Pirone | 1448190 | 3 | 09/23/2005 | Customer Dispute | Denied | $8,218.00 | $0.00 | See FINRA Report |
| Sean S Compton | 5549372 | 1 | 09/19/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Gregory Tucker | 3030071 | 2 | 09/02/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |