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 |
|---|---|---|---|---|---|---|---|---|
| Charles Dewitt Baker | 715764 | 2 | 12/19/1984 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| Don Merwyn Hosack | 721604 | 2 | 11/05/1984 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Carey Dunn Tremaine | 722985 | 2 | 01/05/1983 | Customer Dispute | Award / Judgment | $10,757.10 | $10,757.10 | See FINRA Report |
| Carey Dunn Tremaine | 722985 | 2 | 01/05/1983 | Customer Dispute | Award / Judgment | $10,757.10 | $10,917.00 | See FINRA Report |
| Ronny Lynn Knight | 272435 | 3 | 03/01/1982 | Customer Dispute | Settled | $74,805.00 | $0.00 | See FINRA Report |
| Edmund Colwell McNeil | 1112322 | 3 | 01/10/1982 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |