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 |
|---|---|---|---|---|---|---|---|---|
| Michael Dale Draper | 1797080 | 1 | 05/15/1998 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Vincent Robert Gallagher | 844534 | 6 | 04/23/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Margaret Mary Webb | 1234589 | 4 | 04/17/1998 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Christopher Scott Maxwell | 2573938 | 2 | 03/24/1998 | Customer Dispute | Denied | $9,819.19 | $0.00 | See FINRA Report |
| Ross Vincent Gooding | 2309616 | 1 | 03/11/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eduardo C Marr | 1738269 | 2 | 02/18/1998 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Ruth Lorraine Forehand | 1368715 | 1 | 02/02/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Ray Grubb | 1999653 | 6 | 01/28/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Russell Thomas Gebhard | 2031101 | 3 | 01/16/1998 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |
| Andrew Edwin Watkins | 1139486 | 2 | 01/16/1998 | Customer Dispute | Denied | $9,900.00 | $0.00 | See FINRA Report |