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 |
|---|---|---|---|---|---|---|---|---|
| Michael Gerald Murphy | 2574481 | 3 | 03/16/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Gerald Murphy | 2574481 | 3 | 12/23/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen John Wood | 1386634 | 2 | 08/26/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Andrew Grundig | 2589507 | 2 | 03/26/1997 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Mark Fitzgerald Agre | 2298657 | 1 | 01/29/1997 | Customer Dispute | Settled | $89,938.60 | $0.00 | See FINRA Report |
| Kacey Nelson Smith | 2805017 | 1 | 05/29/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Linus Kelly | 1597375 | 2 | 03/12/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Andrew Donohue | 1001864 | 4 | 02/28/1996 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| David Linus Kelly | 1597375 | 2 | 01/25/1996 | Customer Dispute | Settled | $878,941.00 | $0.00 | See FINRA Report |
| Kris Tulane Maksimovich | 4185617 | 2 | 12/17/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |