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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Norman Young | 820109 | 1 | 11/05/1986 | Customer Dispute | Settled | $14,626.50 | $0.00 | See FINRA Report |
| Phylyp Arthur Wagner | 735608 | 2 | 09/16/1986 | Customer Dispute | Settled | $66,420.00 | $0.00 | See FINRA Report |
| Clark Barlow Jolley | 260771 | 6 | 09/01/1986 | Customer Dispute | Award / Judgment | $172,000.00 | $172,000.00 | See FINRA Report |
| Clark Barlow Jolley | 260771 | 6 | 07/01/1986 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| David Vaughn Sommers | 853609 | 1 | 03/01/1986 | Customer Dispute | Settled | $56,000.00 | $0.00 | See FINRA Report |
| David James Lincoln | 706040 | 1 | 01/25/1986 | Customer Dispute | Settled | $14,285.70 | $0.00 | See FINRA Report |
| Stephen Takashi Sugai | 439390 | 1 | 06/21/1985 | Customer Dispute | Settled | $76,394.40 | $0.00 | See FINRA Report |
| Gerard Joseph Kohler | 273275 | 1 | 05/24/1985 | Customer Dispute | Award / Judgment | $195,000.00 | $120,782.00 | See FINRA Report |
| John William Cobb | 49179 | 2 | 02/19/1985 | Customer Dispute | Settled | $153,150.00 | $0.00 | See FINRA Report |
| Preston Walter Zale | 846418 | 3 | 02/07/1985 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |