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 |
|---|---|---|---|---|---|---|---|---|
| Stanley Dee Brown | 862444 | 7 | 07/02/1991 | Customer Dispute | Award / Judgment | $80,000.00 | $14,044.10 | See FINRA Report |
| John Thomas Garmany | 1597847 | 2 | 05/14/1991 | Customer Dispute | Award / Judgment | $42,892.00 | $20,500.00 | See FINRA Report |
| Joe Tom King | 269945 | 3 | 12/05/1990 | Customer Dispute | Award / Judgment | $106,000.00 | $124,869.00 | See FINRA Report |
| Michael Patrick Daffinrud | 1200311 | 1 | 08/21/1990 | Customer Dispute | Award / Judgment | $76,000.00 | $42,000.00 | See FINRA Report |
| Charles Lawrence Fahy | 203808 | 2 | 02/21/1990 | Customer Dispute | Award / Judgment | $300,000.00 | $17,000.00 | See FINRA Report |
| Steven Alfred Hurst | 1192968 | 1 | 08/01/1989 | Customer Dispute | Award / Judgment | $9,348.07 | $6,188.94 | See FINRA Report |
| Ronald Kenneth Smith | 1015029 | 2 | 11/01/1988 | Customer Dispute | Award / Judgment | $943.00 | $320.00 | See FINRA Report |
| Stephen Edward Hill | 1273641 | 2 | 10/06/1988 | Customer Dispute | Award / Judgment | $148,828.00 | $100,000.00 | See FINRA Report |
| James Gary Walsh | 844662 | 2 | 08/08/1988 | Customer Dispute | Award / Judgment | $39,841.70 | $27,500.00 | See FINRA Report |
| Peter Navaretta | 1209313 | 2 | 06/14/1988 | Customer Dispute | Award / Judgment | $12,067.70 | $3,300.00 | See FINRA Report |