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 |
|---|---|---|---|---|---|---|---|---|
| Jessyca R Miller | 3265012 | 1 | 01/23/2014 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Mark Edward Stawarz | 2451796 | 1 | 12/05/2013 | Customer Dispute | Closed-No Action | $2,243,510.00 | $0.00 | See FINRA Report |
| David Edward Waite | 4610145 | 2 | 11/11/2013 | Customer Dispute | Closed-No Action | $199,773.00 | $0.00 | See FINRA Report |
| John Robert Ressler | 1523226 | 2 | 10/31/2013 | Customer Dispute | Closed-No Action | $8,908.78 | $0.00 | See FINRA Report |
| John Jay Lewis | 1778039 | 2 | 10/29/2013 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Andre Aflalo | 4584723 | 3 | 10/15/2013 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Mark Anthony Chavez | 5539066 | 1 | 09/23/2013 | Customer Dispute | Closed-No Action | $5,353.95 | $0.00 | See FINRA Report |
| Dwight Douglas Peterson | 5729281 | 1 | 08/20/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Patrick Tedesco | 1239269 | 2 | 08/19/2013 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Ray W Nishikawa | 4355724 | 2 | 07/16/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |