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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Michael Fross | 4509874 | 4 | 01/06/2016 | Customer Dispute | Award / Judgment | $24,000.00 | $0.00 | See FINRA Report |
| Angela Smith Ostendarp | 2472036 | 1 | 07/22/2015 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See FINRA Report |
| Bryce Scott Wilinski | 4900714 | 2 | 05/27/2014 | Customer Dispute | Award / Judgment | $11,818,700.00 | $0.00 | See FINRA Report |
| Joseph Roy Russo | 407792 | 2 | 06/06/2013 | Customer Dispute | Award / Judgment | $1,274,130.00 | $1,220,600.00 | See FINRA Report |
| Andy S Rampersaud | 4030919 | 7 | 04/24/2013 | Customer Dispute | Award / Judgment | $50,000.00 | $18,922.90 | See FINRA Report |
| William Judson Sokol | 4659352 | 1 | 03/06/2013 | Customer Dispute | Award / Judgment | $13,194.10 | $8,613.00 | See FINRA Report |
| John Jay Takacs | 3241431 | 4 | 09/05/2012 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |
| Seth Erik Grano | 4219991 | 4 | 07/10/2012 | Customer Dispute | Award / Judgment | $11,025.00 | $11,025.00 | See FINRA Report |
| Richard Charles Oaster | 2775103 | 1 | 06/13/2012 | Customer Dispute | Award / Judgment | $18,600,000.00 | $1,200,000.00 | See FINRA Report |
| Mel O | 4971418 | 1 | 02/01/2012 | Customer Dispute | Award / Judgment | $16,535.70 | $8,267.83 | See FINRA Report |