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 |
|---|---|---|---|---|---|---|---|---|
| Mark Duwayne Teigen | 706449 | 2 | 01/09/2001 | Customer Dispute | Closed-No Action | $525,000.00 | $0.00 | See FINRA Report |
| Phillip Lawrence Dimond | 866853 | 2 | 12/27/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Randall Grayson | 1911957 | 3 | 12/07/2000 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Michael Edward Chambers | 1102715 | 1 | 12/05/2000 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Jason Charles Haswell | 2706658 | 2 | 12/01/2000 | Customer Dispute | Closed-No Action | $19,616.40 | $0.00 | See FINRA Report |
| Rene Michelle Apodaca | 2358821 | 1 | 11/09/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John William Loyd | 2904565 | 2 | 11/02/2000 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Thomas Conroy | 1855202 | 4 | 10/06/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Douglas Chin | 1137310 | 4 | 08/30/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Stephen Butsko | 2266482 | 3 | 07/13/2000 | Customer Dispute | Closed-No Action | $10,196.60 | $0.00 | See FINRA Report |