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 |
|---|---|---|---|---|---|---|---|---|
| Xiomara Maribel Vielman | 4535646 | 1 | 12/20/2004 | Customer Dispute | Settled | $12,500.00 | $0.00 | See FINRA Report |
| Christopher Gerald Deruyver | 2401506 | 3 | 11/18/2004 | Customer Dispute | Denied | $32,775.30 | $0.00 | See FINRA Report |
| Mark Stephen Catrabone | 2340001 | 2 | 11/15/2004 | Customer Dispute | Settled | $10,130.50 | $0.00 | See FINRA Report |
| Hulon Otis Warlick | 2590855 | 1 | 11/09/2004 | Customer Dispute | Closed-No Action | $5,070.00 | $0.00 | See FINRA Report |
| Todd Anthony Oberlin | 2962968 | 2 | 10/08/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael David Lambrix | 4310513 | 3 | 09/21/2004 | Customer Dispute | Denied | $5,836.00 | $0.00 | See FINRA Report |
| Jared Daniel Burke | 4537891 | 2 | 09/07/2004 | Customer Dispute | Denied | $6,872.00 | $0.00 | See FINRA Report |
| Steven David Schlegel | 2210096 | 1 | 09/07/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Renard Berglund | 2164698 | 2 | 08/20/2004 | Customer Dispute | Denied | $103,481.00 | $0.00 | See FINRA Report |
| Robert Emmett Tubridy Jr | 4509256 | 2 | 08/12/2004 | Customer Dispute | Settled | $12,700.00 | $0.00 | See FINRA Report |