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 |
|---|---|---|---|---|---|---|---|---|
| Jeffery Lowell Whitaker | 713323 | 2 | 05/25/2007 | Customer Dispute | Award / Judgment | $12,138.10 | $13,848.40 | See FINRA Report |
| Richard Dodd Hammond | 2753264 | 2 | 08/22/2006 | Customer Dispute | Award / Judgment | $100,000.00 | $50,000.00 | See FINRA Report |
| Richard Dodd Hammond | 2753264 | 2 | 08/04/2006 | Customer Dispute | Award / Judgment | $300,000.00 | $71,902.50 | See FINRA Report |
| John Joseph Murphy | 1039914 | 3 | 06/20/2006 | Customer Dispute | Award / Judgment | $229,712.00 | $4,976.81 | See FINRA Report |
| David Lewis Fransko | 4365885 | 1 | 06/19/2006 | Customer Dispute | Award / Judgment | $75,000.00 | $75,000.00 | See FINRA Report |
| Dustin George Delauer Buck | 4824471 | 1 | 05/02/2006 | Customer Dispute | Award / Judgment | $2,000.00 | $2,000.00 | See FINRA Report |
| Michael Eugene Chapman | 1925096 | 1 | 12/27/2005 | Customer Dispute | Award / Judgment | $100,000.00 | $7,860.57 | See FINRA Report |
| Stephen Brent Sutter | 2680244 | 1 | 07/20/2005 | Customer Dispute | Award / Judgment | $416,600.00 | $172,500.00 | See FINRA Report |
| Frank John Antonucci | 858258 | 1 | 05/31/2005 | Customer Dispute | Award / Judgment | $100,000.00 | $15,000.00 | See FINRA Report |
| Ricky Eugene Johnson | 1077010 | 2 | 05/26/2005 | Customer Dispute | Award / Judgment | $25,000.00 | $45,000.00 | See FINRA Report |