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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Jay Gursey | 2070836 | 3 | 10/09/2001 | Customer Dispute | Award / Judgment | $20,000.00 | $4,979.00 | See FINRA Report |
| Michael Duane Lafleche | 2168269 | 1 | 10/01/2001 | Customer Dispute | Award / Judgment | $276,241.00 | $48,412.00 | See FINRA Report |
| William Frank Welsh | 720913 | 2 | 09/06/2001 | Customer Dispute | Award / Judgment | $8,652.50 | $8,652.50 | See FINRA Report |
| David Paul Bax | 1182497 | 3 | 07/18/2001 | Customer Dispute | Award / Judgment | $72,989.00 | $1.00 | See FINRA Report |
| James Sherer Wood | 3106498 | 3 | 04/30/2001 | Customer Dispute | Award / Judgment | $8,200,000.00 | $813,248.00 | See FINRA Report |
| Joseph Michael Lanza | 1265899 | 2 | 03/16/2001 | Customer Dispute | Award / Judgment | $223,000.00 | $51,000.00 | See FINRA Report |
| Kenneth Bruce Roberts | 1880823 | 3 | 02/27/2001 | Customer Dispute | Award / Judgment | $38,985.00 | $7,263.00 | See FINRA Report |
| Paul Richard Vogel | 1618800 | 4 | 11/28/2000 | Customer Dispute | Award / Judgment | $929,740.00 | $287,000.00 | See FINRA Report |
| John P Rudningen | 2863878 | 4 | 10/31/2000 | Customer Dispute | Award / Judgment | $300,000.00 | $149,292.00 | See FINRA Report |
| Wilbert Ed Rownd | 2177403 | 1 | 09/08/2000 | Customer Dispute | Award / Judgment | $95,000.00 | $27,225.00 | See FINRA Report |