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 Stephen Butsko | 2266482 | 3 | 02/18/2000 | Customer Dispute | Closed-No Action | $21,000.00 | $0.00 | See FINRA Report |
| Timothy Brian Kenyon | 1324495 | 3 | 12/13/1999 | Customer Dispute | Closed-No Action | $5,568.00 | $0.00 | See FINRA Report |
| Stephen Craig Locker | 2177576 | 3 | 12/10/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sean Bryant Chrissinger | 2360321 | 3 | 07/26/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ernest Angelo Johnston | 1501144 | 2 | 06/11/1999 | Customer Dispute | Closed-No Action | $5,250.00 | $0.00 | See FINRA Report |
| George Edward Diamantis | 1311320 | 3 | 05/11/1999 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| David Alan Fink | 1792442 | 4 | 03/16/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Faller | 1564021 | 3 | 03/12/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Samuel James Tippet | 2438532 | 1 | 03/03/1999 | Customer Dispute | Closed-No Action | $21,000.00 | $0.00 | See FINRA Report |
| Allen Cohen | 849258 | 4 | 02/16/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |