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 |
|---|---|---|---|---|---|---|---|---|
| James Baker Watson | 1374665 | 1 | 04/15/1988 | Customer Dispute | Award / Judgment | $29,000.00 | $22,935.80 | See FINRA Report |
| Andrew Conrad Karlinski | 1112156 | 3 | 03/18/1988 | Customer Dispute | Settled | $432,000.00 | $0.00 | See FINRA Report |
| Diana Lee Shultz | 1268978 | 2 | 03/17/1988 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Charles Lawrence Fahy | 203808 | 2 | 02/16/1988 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Garren Joseph Sepede | 1262896 | 5 | 01/13/1988 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Louis Joseph D'Angelis | 845913 | 3 | 01/01/1988 | Customer Dispute | Settled | $164,000.00 | $0.00 | See FINRA Report |
| Clark Barlow Jolley | 260771 | 6 | 12/16/1987 | Customer Dispute | Settled | $142,000.00 | $0.00 | See FINRA Report |
| Karl Klein | 1075899 | 1 | 08/18/1987 | Customer Dispute | Award / Judgment | $18,000.00 | $7,300.00 | See FINRA Report |
| Gerald Allen English | 201380 | 5 | 07/28/1987 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Edward Myles Lynch | 1058005 | 5 | 06/20/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |