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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Ralph Abbruzzi | 1272342 | 1 | 08/24/1993 | Customer Dispute | Award / Judgment | $14,672.00 | $5,000.00 | See FINRA Report |
| Stephen Nicholas Sayegh | 1538929 | 1 | 03/03/1993 | Customer Dispute | Award / Judgment | $6,500.00 | $3,350.00 | See FINRA Report |
| Gerald Allen English | 201380 | 5 | 12/14/1992 | Customer Dispute | Award / Judgment | $11,725.00 | $13,668.40 | See FINRA Report |
| Mark Richard Loft | 1717679 | 4 | 12/08/1992 | Customer Dispute | Award / Judgment | $72,400.00 | $39,560.00 | See FINRA Report |
| Samuel Richard Humphreys | 820181 | 3 | 05/13/1992 | Customer Dispute | Award / Judgment | $15,000.00 | $15,000.00 | See FINRA Report |
| Fritz Andrew Dahlgren | 59854 | 4 | 05/01/1992 | Customer Dispute | Award / Judgment | $500,000.00 | $206,950.00 | See FINRA Report |
| Cynthia Day Laroche | 1183365 | 2 | 03/13/1992 | Customer Dispute | Award / Judgment | $122,000.00 | $30,000.00 | See FINRA Report |
| David Charles Grimaldi | 1079358 | 1 | 01/21/1992 | Customer Dispute | Award / Judgment | $10,000.00 | $1,173.00 | See FINRA Report |
| Payton Donel Crossley | 1716523 | 9 | 11/15/1991 | Customer Dispute | Award / Judgment | $8,240.00 | $120.00 | See FINRA Report |
| Stanley Dee Brown | 862444 | 7 | 07/02/1991 | Customer Dispute | Award / Judgment | $80,000.00 | $0.00 | See FINRA Report |