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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| John Marc Hebert | 2120127 | 2 | 09/23/2010 | Customer Dispute | Award / Judgment | $135,000.00 | $21,106.90 | See FINRA Report |
| Jason Andrew Netrosio | 2743225 | 2 | 08/27/2010 | Customer Dispute | Award / Judgment | $261,000.00 | $65,342.30 | See FINRA Report |
| Christopher Duane Story | 2910330 | 8 | 08/09/2010 | Customer Dispute | Award / Judgment | $0.00 | $4,842.00 | See FINRA Report |
| Mohamed Iqbal Azeez | 5043552 | 1 | 07/09/2010 | Customer Dispute | Award / Judgment | $25,000.00 | $25,000.00 | 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 |