Our Staff has compiled our research into a database of FINRA Broker Disclosures for LPL Financial LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Michael Dunnigan | 1270531 | 7 | 04/11/1996 | Customer Dispute | Award / Judgment | $94,391.60 | $27,112.50 | See FINRA Report |
| Randall Benjamin Cohen | 2367461 | 1 | 01/26/1996 | Customer Dispute | Award / Judgment | $40,593.00 | $20,400.00 | See FINRA Report |
| Harold Boyd Harris | 1534820 | 2 | 06/23/1995 | Customer Dispute | Award / Judgment | $137,916.00 | $22,816.50 | See FINRA Report |
| Geoffrey Thompson | 2263890 | 2 | 06/07/1995 | Customer Dispute | Award / Judgment | $20,000.00 | $20,000.00 | See FINRA Report |
| Chad Michael Winn | 2426079 | 1 | 06/07/1995 | Customer Dispute | Award / Judgment | $337.93 | $337.93 | See FINRA Report |
| Mark Gilbert Zitzelsberger | 1139830 | 2 | 05/23/1995 | Customer Dispute | Award / Judgment | $34,000.00 | $7,000.00 | See FINRA Report |
| Mark Steven Winthrop | 1351181 | 1 | 04/26/1995 | Customer Dispute | Award / Judgment | $12,267.00 | $7,027.00 | See FINRA Report |
| Frank Mario Amelio | 1488977 | 3 | 02/14/1995 | Customer Dispute | Award / Judgment | $170,000.00 | $25,000.00 | See FINRA Report |
| Darin David Cook | 1898749 | 1 | 02/13/1995 | Customer Dispute | Award / Judgment | $48,881.90 | $9,500.00 | See FINRA Report |
| Mark Edwin Strangis | 438004 | 2 | 10/06/1994 | Customer Dispute | Award / Judgment | $67,571.70 | $83,168.20 | See FINRA Report |