Potomac Analytics' Logo

FINRA Broker Disclosures for LPL Financial LLC

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:

Filter by:

Sort by:

Displaying 181-190 out of 193 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Lonnie Adam Friedman2493876704/26/2001Customer DisputePending$0.00$0.00See FINRA Report
James Lee Bruce2502123401/17/2001Customer DisputePending$15,610.00$0.00See FINRA Report
Alex Hung Nguyen2843949207/27/2000Customer DisputePending$0.00$0.00See FINRA Report
Lawrence Lee Karpf2658255308/11/1999Customer DisputePending$11,790.00$0.00See FINRA Report
Donald Stewart Hutchinson254071205/28/1999Customer DisputePending$10,316.00$0.00See FINRA Report
Robert John Teik1777669104/23/1999Customer DisputePending$0.00$0.00See FINRA Report
Lawrence Alfred King269990104/19/1999Customer DisputePending$0.00$0.00See FINRA Report
Jack William Galle731838203/08/1999Customer DisputePending$10,000.00$0.00See FINRA Report
Michael Brian Wargo2652745212/08/1998Customer DisputePending$0.00$0.00See FINRA Report
Allen Cohen849258410/16/1998Customer DisputePending$7,000.00$0.00See FINRA Report

193 Results

Display: