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 |
|---|---|---|---|---|---|---|---|---|
| Robert Hugh Holland | 2200437 | 3 | 12/10/1994 | Customer Dispute | Settled | $35,983.00 | $0.00 | See FINRA Report |
| Stephen Mark Littenberg | 2128750 | 2 | 11/30/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Adrian Lesesne | 1814146 | 7 | 11/09/1994 | Customer Dispute | Settled | $37,249.60 | $0.00 | See FINRA Report |
| Jeffrey George Kitzberger | 1438825 | 2 | 11/08/1994 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Edward Myles Lynch | 1058005 | 5 | 10/25/1994 | Customer Dispute | Settled | $325,000.00 | $0.00 | See FINRA Report |
| Colin Ward Wren | 2161748 | 1 | 09/16/1994 | Customer Dispute | Settled | $32,000.00 | $0.00 | See FINRA Report |
| Edward George Murphy | 1432979 | 4 | 09/06/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Stark Pettys | 1531342 | 2 | 08/30/1994 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Steven Michael Booren | 857555 | 2 | 08/10/1994 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Erny Glenn Malakoff | 1528654 | 2 | 07/20/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |