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 |
|---|---|---|---|---|---|---|---|---|
| John Randall Grayson | 1911957 | 3 | 10/10/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Scott Larson | 2345507 | 2 | 10/03/2002 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Paul Richard Vogel | 1618800 | 4 | 09/11/2002 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |
| Daniel Wesley Renz | 2998611 | 2 | 09/06/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Terry Lee Tolbert | 1439622 | 1 | 08/09/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Shawna Lee Waldman | 2707508 | 1 | 08/02/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lawrence Howard Katz | 1436146 | 1 | 07/31/2002 | Customer Dispute | Closed-No Action | $6,428.31 | $0.00 | See FINRA Report |
| Jonathan Seth Staiman | 1370015 | 2 | 07/30/2002 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Michael Francis Pultro | 1718425 | 2 | 07/29/2002 | Customer Dispute | Closed-No Action | $69,000.00 | $0.00 | See FINRA Report |
| Pawel Eryck Szott | 2721812 | 3 | 07/23/2002 | Customer Dispute | Closed-No Action | $160,000.00 | $0.00 | See FINRA Report |