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 |
|---|---|---|---|---|---|---|---|---|
| Michael Joseph Oconnell | 2933244 | 3 | 06/18/2002 | Customer Dispute | Closed-No Action | $8,500.00 | $0.00 | See FINRA Report |
| Francis Barry Edick | 1570075 | 2 | 06/10/2002 | Customer Dispute | Closed-No Action | $9,000.00 | $0.00 | See FINRA Report |
| Bobbi Barbera | 2641852 | 1 | 06/10/2002 | Customer Dispute | Closed-No Action | $26,000.00 | $0.00 | See FINRA Report |
| Ann-Marie Sepuka | 2821734 | 1 | 06/10/2002 | Customer Dispute | Closed-No Action | $398,000.00 | $0.00 | See FINRA Report |
| Donald Bernard Cleo Rosen | 404185 | 1 | 05/31/2002 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Michael Dunnigan | 1270531 | 7 | 05/30/2002 | Customer Dispute | Closed-No Action | $17,775.00 | $0.00 | See FINRA Report |
| Rey Whitehorn | 3034822 | 2 | 05/14/2002 | Customer Dispute | Closed-No Action | $9,140.00 | $0.00 | See FINRA Report |
| Tracy Lynn Marlin | 2109251 | 1 | 05/13/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| George Joseph Koeltl | 2894410 | 3 | 04/04/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kenneth Alan Clyde | 1488320 | 3 | 03/07/2002 | Customer Dispute | Closed-No Action | $16,000.00 | $0.00 | See FINRA Report |