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 |
|---|---|---|---|---|---|---|---|---|
| Derek Angelo Butler | 4216864 | 2 | 10/11/2009 | Customer Dispute | Closed-No Action | $54,000.00 | $0.00 | See FINRA Report |
| Janet Dewey Peake | 843945 | 1 | 09/15/2009 | Customer Dispute | Closed-No Action | $130,000.00 | $0.00 | See FINRA Report |
| John Michael Clifford | 2647204 | 3 | 09/09/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Andrew James Degroat | 2103217 | 2 | 08/16/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ommund Danny Skaar | 823376 | 2 | 08/11/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Hyongsuk Choe Pau | 1132818 | 3 | 07/23/2009 | Customer Dispute | Closed-No Action | $28,000.00 | $0.00 | See FINRA Report |
| Mark Douglas Williams | 1939192 | 1 | 05/29/2009 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Russell Anthony Cesari | 2927448 | 1 | 05/28/2009 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Tommaso de Nardo | 5042673 | 1 | 05/15/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Keegan James Tanghe | 4819501 | 1 | 04/21/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |