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 |
|---|---|---|---|---|---|---|---|---|
| Eldon Richard Harsin | 1172371 | 2 | 04/15/2005 | Customer Dispute | Denied | $22,500.00 | $0.00 | See FINRA Report |
| William Thomas Ryan | 408356 | 1 | 03/20/2005 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| William Michael Leeb | 731563 | 3 | 03/01/2005 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Richard Kevin Colarossi | 2921296 | 1 | 02/14/2005 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Dana Hausler Pollard | 4140722 | 1 | 02/08/2005 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Jennifer Foster | 5738285 | 1 | 02/07/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John David Amick | 4485089 | 1 | 01/28/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kirk Fredrickson Tassell | 2921618 | 1 | 01/18/2005 | Customer Dispute | Settled | $49,000.00 | $0.00 | See FINRA Report |
| Vincent Neal | 4343914 | 1 | 01/07/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Gerald Deruyver | 2401506 | 3 | 01/03/2005 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |