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 |
|---|---|---|---|---|---|---|---|---|
| William Chauser Bernstein | 1258839 | 10 | 10/21/1993 | Customer Dispute | Settled | $44,347.00 | $0.00 | See FINRA Report |
| William Chauser Bernstein | 1258839 | 10 | 10/21/1993 | Customer Dispute | Settled | $7,695.00 | $0.00 | See FINRA Report |
| William Chauser Bernstein | 1258839 | 10 | 10/21/1993 | Customer Dispute | Settled | $10,635.00 | $0.00 | See FINRA Report |
| William Chauser Bernstein | 1258839 | 10 | 10/21/1993 | Customer Dispute | Settled | $21,591.00 | $0.00 | See FINRA Report |
| John Robert Anastasia | 1613290 | 2 | 10/21/1993 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Stanley Dee Brown | 862444 | 7 | 10/21/1993 | Customer Dispute | Settled | $9,167.00 | $0.00 | See FINRA Report |
| Stanley Dee Brown | 862444 | 7 | 10/21/1993 | Customer Dispute | Settled | $9,821.00 | $0.00 | See FINRA Report |
| Stanley Dee Brown | 862444 | 7 | 10/21/1993 | Customer Dispute | Settled | $28,993.00 | $0.00 | See FINRA Report |
| William Chauser Bernstein | 1258839 | 10 | 09/21/1993 | Customer Dispute | Settled | $94,731.00 | $0.00 | See FINRA Report |
| David Edward Siegel | 709175 | 1 | 09/21/1993 | Customer Dispute | Settled | $71,000.00 | $0.00 | See FINRA Report |