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 |
|---|---|---|---|---|---|---|---|---|
| Joel Floyd Woods | 1470780 | 4 | 01/30/2012 | Customer Dispute | Closed-No Action | $400,000.00 | $0.00 | See FINRA Report |
| Evan Cohen | 5788059 | 1 | 12/28/2011 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Christine Catherine Mallul | 1158837 | 5 | 12/14/2011 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Jason Adam Hyde | 4180274 | 2 | 12/01/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jason Adam Hyde | 4180274 | 2 | 11/14/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Virginia Jamka | 4380828 | 4 | 10/28/2011 | Customer Dispute | Closed-No Action | $10,300.00 | $0.00 | See FINRA Report |
| John Thomas Weisbecker | 5345630 | 1 | 10/20/2011 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Christopher David St. Laurent | 2609073 | 3 | 10/12/2011 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Craig Lee Smith | 5171713 | 1 | 10/10/2011 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Janet Ellen Dember | 1348436 | 2 | 10/08/2011 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |