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 |
|---|---|---|---|---|---|---|---|---|
| Robert Greggory Templeton | 2630728 | 3 | 08/22/2011 | Customer Dispute | Closed-No Action | $38,000.00 | $0.00 | See FINRA Report |
| Karen Hesketh Einberger | 4524926 | 1 | 08/19/2011 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Robert David Bayer | 4369362 | 1 | 07/20/2011 | Customer Dispute | Closed-No Action | $23,558.80 | $0.00 | See FINRA Report |
| John James Turcotte | 1344335 | 1 | 05/20/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Kirby Webb | 2381399 | 2 | 03/24/2011 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Kenny Jack Kidd | 5787491 | 1 | 03/07/2011 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Mark William Goldberg | 223978 | 3 | 02/23/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Marco Antonio Lopez | 2828173 | 2 | 01/31/2011 | Customer Dispute | Closed-No Action | $160,000.00 | $0.00 | See FINRA Report |
| Daniel Robert Wallach | 4754378 | 2 | 01/13/2011 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| David Samuel Barry | 1998799 | 3 | 12/13/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |