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 |
|---|---|---|---|---|---|---|---|---|
| Mary Beth B Donas | 2854973 | 1 | 07/16/2001 | Customer Dispute | Closed-No Action | $5,920.00 | $0.00 | See FINRA Report |
| Ronald Keith Akers | 1443047 | 2 | 07/02/2001 | Customer Dispute | Closed-No Action | $24,060.00 | $0.00 | See FINRA Report |
| Bruce Douglas Berry | 2846046 | 4 | 04/25/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Dale Gregory Schoenberg | 2504516 | 1 | 04/22/2001 | Customer Dispute | Closed-No Action | $450,000.00 | $0.00 | See FINRA Report |
| Bruce Michael Cohen | 1201263 | 6 | 04/19/2001 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Michael Robin Scott | 3022243 | 1 | 04/09/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Stephen Buckman | 1984483 | 7 | 04/02/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Andrea Olsen Condon | 1689218 | 1 | 03/12/2001 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Joel Kent Wilkinson | 1081951 | 1 | 02/02/2001 | Customer Dispute | Closed-No Action | $23,437.00 | $0.00 | See FINRA Report |
| Barry Stephen Davis | 717432 | 2 | 01/18/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |