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 |
|---|---|---|---|---|---|---|---|---|
| John Kendel Lohrenz | 2364673 | 2 | 10/30/1997 | Customer Dispute | Award / Judgment | $37,949.00 | $3,417.12 | See FINRA Report |
| Brett Arthur Matschke | 1651439 | 2 | 03/18/1997 | Customer Dispute | Award / Judgment | $27,000.00 | $5,000.00 | See FINRA Report |
| Edward Anthony Hunton | 1478492 | 4 | 03/12/1997 | Customer Dispute | Award / Judgment | $20,000.00 | $21,000.00 | See FINRA Report |
| George Earnest Merrill | 332388 | 1 | 11/08/1996 | Customer Dispute | Award / Judgment | $158,979.00 | $75,000.00 | See FINRA Report |
| John Robert Ressler | 1523226 | 2 | 08/19/1996 | Customer Dispute | Award / Judgment | $138,165.00 | $125,000.00 | See FINRA Report |
| Katrina Bowers Falke | 1541128 | 2 | 07/19/1996 | Customer Dispute | Award / Judgment | $112,230.00 | $41,850.00 | See FINRA Report |
| 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 |
| Chad Michael Winn | 2426079 | 1 | 06/07/1995 | Customer Dispute | Award / Judgment | $337.93 | $337.93 | See FINRA Report |