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 |
---|---|---|---|---|---|---|---|---|
Philip Albert Sgariglia | 1445310 | 3 | 07/06/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Terrence Hugh Gee | 1266030 | 3 | 06/01/1994 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
Dennis J Harp | 1184266 | 3 | 05/23/1994 | Customer Dispute | Settled | $53,190.10 | $0.00 | See FINRA Report |
Spencer Lee Gabriel | 1987809 | 2 | 05/05/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Charles Lee Plog | 2174253 | 1 | 05/01/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Christopher Louis Mitta | 2017779 | 1 | 04/28/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Clark Barlow Jolley | 260771 | 6 | 04/22/1994 | Customer Dispute | Settled | $3,600,000.00 | $0.00 | See FINRA Report |
Bruce Daniel Barron | 731348 | 2 | 03/09/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Loring Reynolds Wadley | 845011 | 1 | 02/21/1994 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
Wayne Clark Williams | 468373 | 2 | 02/01/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |