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 |
|---|---|---|---|---|---|---|---|---|
| Stephanie Marie Gantt | 3142811 | 2 | 01/22/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Keith Davis | 4405760 | 2 | 12/31/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Stieglitz | 4623788 | 2 | 12/23/2008 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Ronald Peter Kosel | 2696196 | 2 | 12/04/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Charles Frederick Marques | 4711890 | 6 | 12/04/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Scott Bennett | 2713886 | 1 | 11/27/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jose Alexander Bonilla | 5226404 | 3 | 11/25/2008 | Customer Dispute | Closed-No Action | $82,947.10 | $0.00 | See FINRA Report |
| Matthew Welgat | 4686588 | 1 | 11/21/2008 | Customer Dispute | Closed-No Action | $45,802.20 | $0.00 | See FINRA Report |
| Kenneth Paul Carruba | 2356360 | 1 | 10/30/2008 | Customer Dispute | Closed-No Action | $30,091.10 | $0.00 | See FINRA Report |
| David Legrand Payne | 714070 | 2 | 10/27/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |