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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Joseph Kennedy | 2139322 | 1 | 10/04/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jan James Klein | 3144988 | 1 | 09/05/2001 | Customer Dispute | Closed-No Action | $60,336.80 | $0.00 | See FINRA Report |
| Mary Ann Reinoehl | 2014656 | 3 | 08/31/2001 | Customer Dispute | Closed-No Action | $121,000.00 | $0.00 | See FINRA Report |
| Fredric Hunter Jurmu | 1705976 | 3 | 08/24/2001 | Customer Dispute | Closed-No Action | $1,000,000.00 | $0.00 | See FINRA Report |
| Edward Lee Lazaro | 2107606 | 1 | 08/21/2001 | Customer Dispute | Closed-No Action | $34,357.60 | $0.00 | See FINRA Report |
| Bruce Wayne Helmer | 1335674 | 1 | 08/06/2001 | Customer Dispute | Closed-No Action | $84,592.00 | $0.00 | See FINRA Report |
| Edward Michael Sep | 2801408 | 2 | 08/01/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Robert Sabatino | 2759145 | 2 | 07/23/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kenneth Eugene Morris | 2155973 | 1 | 07/18/2001 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Deborah M Williams | 2465466 | 1 | 07/16/2001 | Customer Dispute | Closed-No Action | $24,000.00 | $0.00 | See FINRA Report |