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 |
|---|---|---|---|---|---|---|---|---|
| James Baker Watson | 1374665 | 1 | 04/15/1988 | Customer Dispute | Award / Judgment | $29,000.00 | $22,935.80 | See FINRA Report |
| Karl Klein | 1075899 | 1 | 08/18/1987 | Customer Dispute | Award / Judgment | $18,000.00 | $7,300.00 | See FINRA Report |
| Clark Barlow Jolley | 260771 | 6 | 09/01/1986 | Customer Dispute | Award / Judgment | $172,000.00 | $172,000.00 | See FINRA Report |
| Gerard Joseph Kohler | 273275 | 1 | 05/24/1985 | Customer Dispute | Award / Judgment | $195,000.00 | $120,782.00 | See FINRA Report |
| Carey Dunn Tremaine | 722985 | 2 | 01/05/1983 | Customer Dispute | Award / Judgment | $10,757.10 | $10,757.10 | See FINRA Report |
| Carey Dunn Tremaine | 722985 | 2 | 01/05/1983 | Customer Dispute | Award / Judgment | $10,757.10 | $10,917.00 | See FINRA Report |