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 |
|---|---|---|---|---|---|---|---|---|
| Eric David Osgood | 2733034 | 2 | 02/06/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Gilbert Allensworth | 6268621 | 1 | 01/31/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Mark William Oechler | 1960781 | 1 | 01/31/2017 | Customer Dispute | Denied | $7,377.84 | $0.00 | See FINRA Report |
| Stephen A Dillemuth | 5828832 | 1 | 01/30/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven W Landwersiek | 4357700 | 1 | 01/30/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Bruce Plum | 1820237 | 1 | 01/27/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jordan Scott Kerner | 5609857 | 1 | 01/23/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Forest Haddorff | 1050869 | 3 | 01/23/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Harvey Kuhtz | 1307194 | 1 | 01/18/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Patricia Wojtonek-Gioitta | 4618193 | 2 | 01/17/2017 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |