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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Anne Lighthipe-Hinz | 2460184 | 8 | 04/07/2008 | Customer Dispute | Pending | $33,809.70 | $0.00 | See FINRA Report |
| Richard Allen Baird | 2266227 | 8 | 01/15/2005 | Customer Dispute | Pending | $30,000.00 | $0.00 | See FINRA Report |
| James Michael Shaw | 2498399 | 3 | 05/04/2004 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Wesley Sammons | 2175259 | 2 | 10/07/2003 | Customer Dispute | Pending | $12,000.00 | $0.00 | See FINRA Report |
| Marvin Stewart Heiman | 1091724 | 3 | 05/23/2003 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Lisa Adrienne Franklin | 2570373 | 3 | 05/20/2003 | Customer Dispute | Pending | $48,000.00 | $0.00 | See FINRA Report |
| Anthony Michael Siciliano | 1976909 | 1 | 04/03/2003 | Customer Dispute | Pending | $19,413.20 | $0.00 | See FINRA Report |
| John Clarence Woods | 1362326 | 2 | 03/01/2003 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Brian Moloney | 1543528 | 3 | 02/04/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John Henry Gray | 2849596 | 4 | 01/16/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |