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 |
|---|---|---|---|---|---|---|---|---|
| Louis M Rusinowitz | 2813827 | 1 | 12/22/2003 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Nicole Francis | 1685116 | 3 | 11/19/2003 | Customer Dispute | Denied | $13,354.00 | $0.00 | See FINRA Report |
| Michael Joseph Puls | 2684129 | 1 | 10/31/2003 | Customer Dispute | Closed-No Action | $122,000.00 | $0.00 | See FINRA Report |
| Laurence Gerard Claudia | 4315887 | 3 | 10/29/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Laurence Gerard Claudia | 4315887 | 3 | 10/29/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Melinda T Pakulski | 4140152 | 1 | 09/21/2003 | Customer Dispute | Settled | $33,877.80 | $0.00 | See FINRA Report |
| David Allen Eppley | 2019262 | 2 | 08/05/2003 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Charles Durham Dodds | 1453876 | 4 | 07/28/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Kendall Ephraim | 3066936 | 1 | 07/23/2003 | Customer Dispute | Denied | $19,402.80 | $0.00 | See FINRA Report |
| Timothy Philip Newton | 2939750 | 1 | 06/30/2003 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |