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 |
|---|---|---|---|---|---|---|---|---|
| David Arthur Dickson | 2305473 | 2 | 03/09/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Wyson | 4021197 | 2 | 02/23/2021 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Shawn Christena Quam-Schulz | 2042238 | 1 | 01/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Marie Carson | 3149084 | 1 | 12/18/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michele Wrabley | 6798411 | 1 | 12/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Alan Jacobson | 2635798 | 2 | 11/17/2020 | Customer Dispute | Settled | $32,000.00 | $0.00 | See FINRA Report |
| James Wood Diamond | 1319295 | 1 | 11/08/2020 | Customer Dispute | Denied | $5,600.00 | $0.00 | See FINRA Report |
| Gregory Alan Jacobson | 2635798 | 2 | 10/22/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Christopher Michael Murray | 2037323 | 2 | 09/28/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathan Law | 5562863 | 3 | 09/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |