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 |
|---|---|---|---|---|---|---|---|---|
| Pawel Eryck Szott | 2721812 | 3 | 07/30/2002 | Customer Dispute | Award / Judgment | $190,000.00 | $82,000.00 | See FINRA Report |
| Richard Allen Baird | 2266227 | 8 | 07/01/2002 | Customer Dispute | Award / Judgment | $400,000.00 | $300,000.00 | See FINRA Report |
| Lisa Anne Lighthipe-Hinz | 2460184 | 8 | 05/28/2002 | Customer Dispute | Award / Judgment | $48,432.60 | $34,270.00 | See FINRA Report |
| Richard Brian Coloni | 4210285 | 1 | 05/17/2002 | Customer Dispute | Award / Judgment | $24,064.00 | $2,703.55 | See FINRA Report |
| Frank Joseph Murry | 2971739 | 2 | 05/14/2002 | Customer Dispute | Award / Judgment | $491,000.00 | $175,075.00 | See FINRA Report |
| Jeffrey Albert Gagnon | 2472741 | 2 | 01/31/2002 | Customer Dispute | Award / Judgment | $28,961.50 | $0.00 | See FINRA Report |
| Jamie Lawrence Baraldi | 2326273 | 4 | 01/17/2002 | Customer Dispute | Award / Judgment | $70,000.00 | $0.00 | See FINRA Report |
| Philip John Ruggeri | 2977456 | 1 | 11/20/2001 | Customer Dispute | Award / Judgment | $920,000.00 | $0.00 | See FINRA Report |
| Gregory Paul Fortner | 2022074 | 2 | 11/09/2001 | Customer Dispute | Award / Judgment | $316,839.00 | $324,747.00 | See FINRA Report |
| Paul Andrew Barr | 1748415 | 2 | 10/25/2001 | Customer Dispute | Award / Judgment | $86,775.00 | $26,800.00 | See FINRA Report |