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 |
|---|---|---|---|---|---|---|---|---|
| Regina Ann Bernarduci | 2688309 | 1 | 01/22/2003 | Customer Dispute | Award / Judgment | $242,907.00 | $51,125.50 | See FINRA Report |
| Sidney Joseph Lorio | 1022523 | 2 | 12/10/2002 | Customer Dispute | Award / Judgment | $2,800,000.00 | $289,636.00 | See FINRA Report |
| Eugene Franklin Blair | 727636 | 2 | 12/05/2002 | Customer Dispute | Award / Judgment | $700,000.00 | $237,500.00 | See FINRA Report |
| Richard Timothy Curran | 2755803 | 1 | 11/14/2002 | Customer Dispute | Award / Judgment | $97,229.00 | $1.00 | See FINRA Report |
| Robert Louis Errico | 1495230 | 5 | 11/12/2002 | Customer Dispute | Award / Judgment | $2,000,000.00 | $0.00 | See FINRA Report |
| James Michael Raft | 2256800 | 3 | 10/10/2002 | Customer Dispute | Award / Judgment | $0.00 | $15,000.00 | See FINRA Report |
| Jeffrey Howard McKinnon | 2752255 | 1 | 10/03/2002 | Customer Dispute | Award / Judgment | $39,904.00 | $33,519.00 | See FINRA Report |
| Shawn Barrett Peroff | 2702904 | 3 | 09/08/2002 | Customer Dispute | Award / Judgment | $160,000.00 | $121,350.00 | See FINRA Report |
| Jon Ashley Strine | 3058304 | 3 | 09/08/2002 | Customer Dispute | Award / Judgment | $160,000.00 | $121,350.00 | See FINRA Report |
| Paul Andrew Barr | 1748415 | 2 | 08/05/2002 | Customer Dispute | Award / Judgment | $47,030.00 | $80,447.00 | See FINRA Report |