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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Duane Story | 2910330 | 8 | 08/09/2010 | Customer Dispute | Award / Judgment | $0.00 | $4,842.00 | See FINRA Report |
| Ronald Dean Bailey | 4268434 | 2 | 03/31/2010 | Customer Dispute | Award / Judgment | $500,000.00 | $0.00 | See FINRA Report |
| Christopher Thomas Fenton | 1476577 | 3 | 03/08/2010 | Customer Dispute | Award / Judgment | $119,650.00 | $30,573.70 | See FINRA Report |
| Christopher Duane Story | 2910330 | 8 | 03/04/2010 | Customer Dispute | Award / Judgment | $25,000.00 | $0.00 | See FINRA Report |
| Fabrizio Antoniocarlo Fabrizio | 2191710 | 1 | 11/17/2009 | Customer Dispute | Award / Judgment | $93,574.00 | $0.00 | See FINRA Report |
| Victor Alexander Koby | 1241598 | 2 | 07/27/2009 | Customer Dispute | Award / Judgment | $210,641.00 | $210,641.00 | See FINRA Report |
| Timothy Jon Finkelston | 3100872 | 1 | 03/19/2009 | Customer Dispute | Award / Judgment | $81,330.50 | $81,330.50 | See FINRA Report |
| Daniel James Wiersma | 2126442 | 1 | 11/03/2008 | Customer Dispute | Award / Judgment | $168,607.00 | $84,972.00 | See FINRA Report |
| Pankaj V Udeshi | 1523083 | 4 | 09/26/2008 | Customer Dispute | Award / Judgment | $392,000.00 | $66,500.00 | See FINRA Report |
| Howard Robert Pinson | 2005771 | 2 | 08/05/2008 | Customer Dispute | Award / Judgment | $250,000.00 | $190,000.00 | See FINRA Report |