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 Thomas Allison | 2465749 | 1 | 02/15/2008 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Ronald Dean Bailey | 4268434 | 2 | 02/08/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Saundra Dee Ivy | 2781753 | 1 | 02/05/2008 | Customer Dispute | Closed-No Action | $22,889.40 | $0.00 | See FINRA Report |
| Steven Randolph Jung | 1440551 | 4 | 01/28/2008 | Customer Dispute | Closed-No Action | $230,604.00 | $0.00 | See FINRA Report |
| Timothy John Lysaght | 1858903 | 4 | 01/28/2008 | Customer Dispute | Closed-No Action | $230,604.00 | $0.00 | See FINRA Report |
| Steven Lee Davis | 1810213 | 1 | 01/28/2008 | Customer Dispute | Closed-No Action | $9,500.00 | $0.00 | See FINRA Report |
| Jon Scott Williams | 2675822 | 3 | 12/24/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Youngdahl | 1589583 | 1 | 12/17/2007 | Customer Dispute | Closed-No Action | $9,000.00 | $0.00 | See FINRA Report |
| John Joseph Moynihan | 1178630 | 1 | 12/17/2007 | Customer Dispute | Closed-No Action | $7,227.97 | $0.00 | See FINRA Report |
| Jeffery Jay Seitz | 2454097 | 3 | 12/11/2007 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |