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 Thomas Garmany | 1597847 | 2 | 03/07/2002 | Customer Dispute | Closed-No Action | $110,000.00 | $0.00 | See FINRA Report |
| Calvin Edrix Lee | 2583310 | 1 | 03/04/2002 | Customer Dispute | Closed-No Action | $18,699.00 | $0.00 | See FINRA Report |
| Richard Lee Chambers | 2435036 | 2 | 03/01/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard L Corbin | 1946783 | 1 | 02/21/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ronald Peter Kosel | 2696196 | 2 | 02/21/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Leo Gerald O'Connor | 501710 | 1 | 02/19/2002 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Carl David Hedstrom | 1535132 | 2 | 02/04/2002 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Robert T Li | 4068255 | 3 | 01/28/2002 | Customer Dispute | Closed-No Action | $49,500.00 | $0.00 | See FINRA Report |
| Theodore Thiro | 1252057 | 3 | 01/22/2002 | Customer Dispute | Closed-No Action | $88,000.00 | $0.00 | See FINRA Report |
| Dean Edward Elliott | 2756037 | 1 | 01/15/2002 | Customer Dispute | Closed-No Action | $43,000.00 | $0.00 | See FINRA Report |