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 Lewis Williams | 468074 | 2 | 09/08/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David Yukio Omura | 1462902 | 1 | 08/13/2020 | Customer Dispute | Settled | $72,927.00 | $0.00 | See FINRA Report |
| Caitlin Trites | 7025160 | 1 | 08/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roberta Louise Nestor | 1262376 | 1 | 08/07/2020 | Customer Dispute | Settled | $895,000.00 | $0.00 | See FINRA Report |
| Clint Livingston | 7232661 | 4 | 07/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jerry Leon Perfect | 1767138 | 1 | 07/21/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Emily Joann Blackwell | 4212388 | 1 | 05/27/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Paylor | 1095866 | 1 | 05/02/2020 | Customer Dispute | Denied | $27,827.40 | $0.00 | See FINRA Report |
| Clint Livingston | 7232661 | 4 | 04/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Flynn Tomer | 4801360 | 2 | 04/02/2020 | Customer Dispute | Settled | $15,060.00 | $0.00 | See FINRA Report |