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 |
|---|---|---|---|---|---|---|---|---|
| James Edward Tyrrell | 1447382 | 2 | 03/13/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Greg Wayne Stafford | 2671574 | 2 | 02/27/2003 | Customer Dispute | Settled | $9,682.00 | $0.00 | See FINRA Report |
| Stephen George Harvey | 1274964 | 2 | 02/11/2003 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Marianna Goldenberg | 2165876 | 2 | 02/05/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dennis Camille Gero | 2314746 | 2 | 02/03/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brian Thomas Connelly | 2144504 | 1 | 01/06/2003 | Customer Dispute | Settled | $82,213.60 | $0.00 | See FINRA Report |
| Mark Stephenson | 2385184 | 1 | 12/30/2002 | Customer Dispute | Closed-No Action | $16,000.00 | $0.00 | See FINRA Report |
| Laurence Christian Sorensen Walker | 1001751 | 3 | 12/20/2002 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Brent Thomas Schleicher | 2889147 | 1 | 12/16/2002 | Customer Dispute | Settled | $52,185.00 | $0.00 | See FINRA Report |
| Barbara Ann Budny | 1716265 | 2 | 12/16/2002 | Customer Dispute | Settled | $75,569.50 | $0.00 | See FINRA Report |