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 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 | 5 | 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 |
| 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 |
| Michael Anthony Rohling | 4481928 | 1 | 11/10/2011 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See FINRA Report |
| Mary Rohe Purgason | 2624054 | 2 | 07/18/2011 | Customer Dispute | Award / Judgment | $25,000.00 | $0.00 | See FINRA Report |
| Jamie Spencer Head | 1273209 | 2 | 06/23/2011 | Customer Dispute | Award / Judgment | $35,972.10 | $0.00 | See FINRA Report |
| Jeffrey William Reeves | 4436126 | 1 | 12/14/2010 | Customer Dispute | Award / Judgment | $147,315.00 | $62,899.20 | See FINRA Report |
| Jason Andrew Netrosio | 2743225 | 1 | 08/27/2010 | Customer Dispute | Award / Judgment | $261,000.00 | $65,342.30 | See FINRA Report |