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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Alan Muskat | 4230037 | 2 | 07/04/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Rice | 6913800 | 2 | 06/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Vincent Hunt | 2400633 | 1 | 06/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Wayne Aiken | 3227646 | 1 | 05/03/2022 | Customer Dispute | Settled | $16,424.20 | $0.00 | See FINRA Report |
| Kevin Patrick O'Sullivan | 4499275 | 1 | 04/27/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael David Sullum | 4320124 | 1 | 04/05/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Luke Warren McKelvy | 5249765 | 1 | 03/31/2022 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| John Howley Whalen | 1900188 | 3 | 03/01/2022 | Customer Dispute | Settled | $1,117,600.00 | $0.00 | See FINRA Report |
| Edward Jonathan Sokolowski | 2221001 | 2 | 01/26/2022 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Megan M Alpert | 5140964 | 1 | 01/25/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |