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 |
|---|---|---|---|---|---|---|---|---|
| Carl Francis Bailey | 870110 | 2 | 02/26/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Williams | 1727207 | 1 | 12/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Savone | 1435179 | 2 | 12/01/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Oswald Robert Donaldson | 1535770 | 2 | 08/01/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey David Rockwell | 4541672 | 2 | 05/29/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Jon Peters | 4252863 | 1 | 05/05/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen John Wood | 1386634 | 2 | 01/31/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Marcus Hunter | 1913536 | 1 | 08/01/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric Scott Colella | 1606466 | 1 | 07/12/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Veronica Ann Dende | 2311499 | 1 | 03/31/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |