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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.

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Displaying 2,031-2,040 out of 2,138 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Philip Albert Sgariglia1445310307/06/1994Customer DisputeSettled$0.00$0.00See FINRA Report
Terrence Hugh Gee1266030306/01/1994Customer DisputeSettled$100,000.00$0.00See FINRA Report
Dennis J Harp1184266305/23/1994Customer DisputeSettled$53,190.10$0.00See FINRA Report
Spencer Lee Gabriel1987809205/05/1994Customer DisputeSettled$0.00$0.00See FINRA Report
Charles Lee Plog2174253105/01/1994Customer DisputeSettled$0.00$0.00See FINRA Report
Christopher Louis Mitta2017779104/28/1994Customer DisputeSettled$0.00$0.00See FINRA Report
Clark Barlow Jolley260771604/22/1994Customer DisputeSettled$3,600,000.00$0.00See FINRA Report
Bruce Daniel Barron731348203/09/1994Customer DisputeSettled$0.00$0.00See FINRA Report
Loring Reynolds Wadley845011102/21/1994Customer DisputeSettled$10,000.00$0.00See FINRA Report
Wayne Clark Williams468373202/01/1994Customer DisputeSettled$0.00$0.00See FINRA Report

2,138 Results

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