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 |
|---|---|---|---|---|---|---|---|---|
| David Lawrence Russell | 1300854 | 2 | 12/09/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Routh | 2117020 | 4 | 11/25/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Routh | 2117020 | 4 | 11/25/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wayne Charles Maier | 317449 | 2 | 11/07/1996 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Allen Lebzelter | 1669772 | 4 | 10/24/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bruce Richard Cooke | 2229065 | 3 | 09/30/1996 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| John David Giffin | 1244271 | 2 | 09/24/1996 | Customer Dispute | Settled | $183,267.00 | $0.00 | See FINRA Report |
| Russell Thomas Gebhard | 2031101 | 3 | 09/23/1996 | Customer Dispute | Settled | $117,557.00 | $0.00 | See FINRA Report |
| David Routh | 2117020 | 4 | 09/01/1996 | Customer Dispute | Settled | $182,000.00 | $0.00 | See FINRA Report |
| Sidney Joseph Lorio | 1022523 | 2 | 08/20/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |