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 |
|---|---|---|---|---|---|---|---|---|
| John Louis McCraw | 1033835 | 1 | 02/14/1995 | Customer Dispute | Settled | $84,174.00 | $0.00 | See FINRA Report |
| Patrick Todd Mead | 1959855 | 2 | 02/02/1995 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| George Edward Diamantis | 1311320 | 3 | 02/02/1995 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Terrence John Crowley | 1263981 | 5 | 01/23/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Warren Lamb | 1437554 | 5 | 01/16/1995 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Celia Kikue Garcia | 1479899 | 2 | 01/13/1995 | Customer Dispute | Settled | $12,250.00 | $0.00 | See FINRA Report |
| Robert James Baptist | 1576889 | 6 | 01/06/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence George Catallo | 868492 | 6 | 01/03/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward George Murphy | 1432979 | 4 | 12/28/1994 | Customer Dispute | Settled | $45,226.00 | $0.00 | See FINRA Report |
| Spencer Lee Gabriel | 1987809 | 2 | 12/20/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |