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 |
|---|---|---|---|---|---|---|---|---|
| Brian Ray Shackleford | 1890479 | 1 | 03/29/2005 | Customer Dispute | Closed-No Action | $78,000.00 | $0.00 | See FINRA Report |
| Jeffrey Stephen Pisanos | 1186065 | 1 | 03/07/2005 | Customer Dispute | Closed-No Action | $147,550.00 | $0.00 | See FINRA Report |
| Ronnie Brondial Raroque | 2320611 | 2 | 03/03/2005 | Customer Dispute | Closed-No Action | $5,057.16 | $0.00 | See FINRA Report |
| Pawel Eryck Szott | 2721812 | 3 | 02/03/2005 | Customer Dispute | Closed-No Action | $8,000,000.00 | $0.00 | See FINRA Report |
| Stephen Edward Gray | 2040775 | 1 | 01/27/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gerald Paul Morse | 2638291 | 1 | 01/03/2005 | Customer Dispute | Closed-No Action | $137,780.00 | $0.00 | See FINRA Report |
| Matthew Henry Riesenweber | 4625637 | 1 | 12/22/2004 | Customer Dispute | Closed-No Action | $22,700.00 | $0.00 | See FINRA Report |
| Marylynne Price | 2476220 | 4 | 12/16/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Robert E Allen | 2335448 | 2 | 12/16/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Andrew James Degroat | 2103217 | 2 | 12/15/2004 | Customer Dispute | Closed-No Action | $115,282.00 | $0.00 | See FINRA Report |