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 |
|---|---|---|---|---|---|---|---|---|
| Elizabeth Mary Gallen Mastromarino | 1298196 | 1 | 01/27/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Michael Dahan | 2297087 | 2 | 01/16/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Timothy John Bober | 1992277 | 1 | 12/11/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Carl Rubin | 736859 | 1 | 10/16/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Marc Alexander | 2362864 | 2 | 07/14/1998 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |
| John Ralph Natalo | 1745810 | 3 | 06/29/1998 | Customer Dispute | Closed-No Action | $25,200.00 | $0.00 | See FINRA Report |
| Michael Brian Wargo | 2652745 | 2 | 06/12/1998 | Customer Dispute | Closed-No Action | $30,314.00 | $0.00 | See FINRA Report |
| Michael Alan Binz | 1042855 | 1 | 05/19/1998 | Customer Dispute | Closed-No Action | $5,887.91 | $0.00 | See FINRA Report |
| Kevin Landis | 2325460 | 3 | 05/02/1998 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| William Blaine Burton | 873027 | 2 | 04/02/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |