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 |
|---|---|---|---|---|---|---|---|---|
| James Gary Walsh | 844662 | 2 | 12/14/1993 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Jeffrey Allan Morris | 1132450 | 1 | 12/13/1993 | Customer Dispute | Settled | $909,000.00 | $0.00 | See FINRA Report |
| Donald Francis White | 1347171 | 3 | 12/09/1993 | Customer Dispute | Settled | $46,549.60 | $0.00 | See FINRA Report |
| Ronald Scott Clinard | 1222635 | 1 | 12/06/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Clarence Woods | 1362326 | 2 | 12/01/1993 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Christine Drozdowski Trapp | 1125216 | 1 | 11/05/1993 | Customer Dispute | Settled | $476,084.00 | $0.00 | See FINRA Report |
| Robert Eugene Lowry | 1107269 | 2 | 11/03/1993 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| William Chauser Bernstein | 1258839 | 10 | 10/21/1993 | Customer Dispute | Settled | $8,275.00 | $0.00 | See FINRA Report |
| William Chauser Bernstein | 1258839 | 10 | 10/21/1993 | Customer Dispute | Settled | $12,644.00 | $0.00 | See FINRA Report |
| William Chauser Bernstein | 1258839 | 10 | 10/21/1993 | Customer Dispute | Settled | $7,218.00 | $0.00 | See FINRA Report |