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 |
|---|---|---|---|---|---|---|---|---|
| Erny Glenn Malakoff | 1528654 | 2 | 07/05/1994 | Customer Dispute | Award / Judgment | $25,000.00 | $31,250.00 | See FINRA Report |
| John William Gallagher | 709080 | 1 | 07/01/1994 | Customer Dispute | Award / Judgment | $50,000.00 | $8,623.00 | See FINRA Report |
| Kenneth H South | 1387390 | 3 | 06/20/1994 | Customer Dispute | Award / Judgment | $0.00 | $15,000.00 | See FINRA Report |
| Deborah Gant | 1746384 | 6 | 05/19/1994 | Customer Dispute | Award / Judgment | $5,000.00 | $1,000.00 | See FINRA Report |
| Mark Stephen Buckman | 1984483 | 7 | 04/19/1994 | Customer Dispute | Award / Judgment | $10,000.00 | $4,250.00 | See FINRA Report |
| Terrence Hugh Gee | 1266030 | 3 | 04/13/1994 | Customer Dispute | Award / Judgment | $141,840.00 | $12,408.20 | See FINRA Report |
| Ronald David Bussey | 2308573 | 2 | 04/01/1994 | Customer Dispute | Award / Judgment | $4,623.75 | $4,773.75 | See FINRA Report |
| Linda Ann Walker | 717509 | 2 | 01/14/1994 | Customer Dispute | Award / Judgment | $100,000.00 | $35,000.00 | See FINRA Report |
| Joseph Orazio Giunta | 720024 | 1 | 10/25/1993 | Customer Dispute | Award / Judgment | $4,300.00 | $2,611.00 | See FINRA Report |
| Robert Edward Fairbrothers | 1815550 | 1 | 09/23/1993 | Customer Dispute | Award / Judgment | $10,000.00 | $2,650.00 | See FINRA Report |