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 |
|---|---|---|---|---|---|---|---|---|
| Jorge Pereira | 3130334 | 1 | 07/19/2004 | Customer Dispute | Award / Judgment | $5,000.00 | $2,000.00 | See FINRA Report |
| Allen Roy Ernst | 3171882 | 1 | 05/24/2004 | Customer Dispute | Award / Judgment | $224,278.00 | $186,532.00 | See FINRA Report |
| Douglas Chin | 1137310 | 4 | 04/26/2004 | Customer Dispute | Award / Judgment | $96,435.20 | $72,634.40 | See FINRA Report |
| Thomas Christopher Reynolds | 1081941 | 2 | 02/10/2004 | Customer Dispute | Award / Judgment | $434,520.00 | $43,000.00 | See FINRA Report |
| Shawn William Dunnigan | 1967001 | 1 | 01/07/2004 | Customer Dispute | Award / Judgment | $125,000.00 | $118,000.00 | See FINRA Report |
| Louis Aldo Inglese | 2647353 | 2 | 12/15/2003 | Customer Dispute | Award / Judgment | $200,000.00 | $103,880.00 | See FINRA Report |
| Scott D Mundal | 2364893 | 2 | 11/25/2003 | Customer Dispute | Award / Judgment | $0.00 | $43,556.30 | See FINRA Report |
| Ronald Alan Harczak | 1375192 | 1 | 04/28/2003 | Customer Dispute | Award / Judgment | $810,407.00 | $40,000.00 | See FINRA Report |
| Thomas David Vangeffen | 1577833 | 1 | 03/20/2003 | Customer Dispute | Award / Judgment | $125,000.00 | $0.00 | See FINRA Report |
| Joseph John Careccia | 1494504 | 1 | 02/24/2003 | Customer Dispute | Award / Judgment | $150,000.00 | $24,000.00 | See FINRA Report |