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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Paul Lucia | 4945945 | 1 | 05/12/2012 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Scott Steven Feher | 2282152 | 1 | 05/04/2012 | Customer Dispute | Closed-No Action | $300,000.00 | $0.00 | See FINRA Report |
| Stephen Paluck | 4144405 | 2 | 04/30/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Preston W Schumacher | 4594199 | 1 | 04/25/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michele Lynn McDuffie | 3231749 | 1 | 04/23/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Anthony Ruggiero | 1464085 | 1 | 04/17/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles George Breschi | 4442754 | 2 | 04/03/2012 | Customer Dispute | Closed-No Action | $9,600.00 | $0.00 | See FINRA Report |
| Albert Ray Linker | 1918037 | 2 | 03/12/2012 | Customer Dispute | Closed-No Action | $19,000.00 | $0.00 | See FINRA Report |
| Miklos Stefan Gudricza | 2219032 | 1 | 02/16/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Stedman Watson | 1569705 | 1 | 02/16/2012 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |