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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Katz | 1240739 | 4 | 08/31/1993 | Customer Dispute | Settled | $122,141.00 | $0.00 | See FINRA Report |
| Frank Mario Amelio | 1488977 | 3 | 07/19/1993 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Louis Pelliccioni | 1396818 | 5 | 07/08/1993 | Customer Dispute | Settled | $58,800.00 | $0.00 | See FINRA Report |
| Kenneth Marc Hutkin | 1344519 | 5 | 06/24/1993 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| David Lee Chin | 1475752 | 4 | 06/22/1993 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Joseph Nicholas Accardi | 728322 | 3 | 04/26/1993 | Customer Dispute | Settled | $80,408.00 | $0.00 | See FINRA Report |
| Arthur Barton Pierce | 1722026 | 3 | 04/20/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Chauser Bernstein | 1258839 | 10 | 04/04/1993 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Clark Barlow Jolley | 260771 | 6 | 03/05/1993 | Customer Dispute | Settled | $3,360,290.00 | $0.00 | See FINRA Report |
| Garry Norman Nichols | 1026356 | 1 | 03/05/1993 | Customer Dispute | Settled | $3,360,590.00 | $0.00 | See FINRA Report |