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 Gregory McKee | 2233998 | 1 | 06/28/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Kristian Kotkas | 5490238 | 1 | 05/06/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Xavier Caggiano | 1934069 | 1 | 09/15/1994 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Larry Robert Brown | 5493737 | 1 | 05/18/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon David Walton | 1086283 | 1 | 04/04/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Michael Leeb | 731563 | 3 | 10/08/1993 | Customer Dispute | Award / Judgment | $50,000.00 | $47,520.00 | See FINRA Report |
| Stewart Ross Moscov | 341184 | 1 | 09/24/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerard Joseph Longo | 2671781 | 2 | 08/29/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Michael Leeb | 731563 | 3 | 12/23/1992 | Customer Dispute | Settled | $102,436.00 | $0.00 | See FINRA Report |
| Richard Arthur Fitzer | 1030664 | 2 | 08/26/1992 | Customer Dispute | Settled | $47,500.00 | $0.00 | See FINRA Report |