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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Philip Greuner | 4431740 | 1 | 02/05/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Kenneth Smith | 1015029 | 2 | 01/05/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott James Taylor | 2183341 | 3 | 12/11/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott D Levin | 2564357 | 2 | 12/05/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick William Shaughnessy | 1091223 | 2 | 11/29/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Arthur Paul Cosing | 2230967 | 2 | 11/28/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Laurence Andrew McHugh | 2427447 | 5 | 09/06/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Debbie Winokur | 1464218 | 1 | 07/28/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald Jerry Paroda | 2905728 | 2 | 07/15/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dale Robert Powers | 2255475 | 1 | 06/19/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |