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 |
|---|---|---|---|---|---|---|---|---|
| Jerry Dale Reder | 1270457 | 2 | 06/07/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joel Floyd Woods | 1470780 | 4 | 05/27/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Eric Tomren | 2899318 | 2 | 05/07/2010 | Customer Dispute | Closed-No Action | $350,000.00 | $0.00 | See FINRA Report |
| Nick Harris Meyers | 1268451 | 1 | 05/05/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Deborah Gant | 1746384 | 6 | 03/25/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Allen John Thorogood | 1272996 | 1 | 03/23/2010 | Customer Dispute | Closed-No Action | $33,708.50 | $0.00 | See FINRA Report |
| James Gordon Woytcke | 1038615 | 3 | 03/10/2010 | Customer Dispute | Closed-No Action | $69,000.00 | $0.00 | See FINRA Report |
| Wesley Greg Alston | 3242920 | 4 | 02/25/2010 | Customer Dispute | Closed-No Action | $214,511.00 | $0.00 | See FINRA Report |
| Mitchell Allen Reinhardt | 714794 | 3 | 02/16/2010 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Keith Davis | 4405760 | 2 | 10/26/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |