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 |
|---|---|---|---|---|---|---|---|---|
| Stephen George McKee | 1408932 | 3 | 03/05/1993 | Customer Dispute | Settled | $33,000,000.00 | $0.00 | See FINRA Report |
| Allen Cohen | 849258 | 4 | 03/01/1993 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Wendell Eugene Pribila | 1968513 | 1 | 02/11/1993 | Customer Dispute | Settled | $17,500.00 | $0.00 | See FINRA Report |
| Arthur Roy Salomon | 409484 | 1 | 12/18/1992 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Eric Neuwirth | 736175 | 2 | 12/10/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stanley Dee Brown | 862444 | 7 | 11/12/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stanley Dee Brown | 862444 | 7 | 10/15/1992 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| William Chauser Bernstein | 1258839 | 10 | 09/08/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Josef Albert Stark | 433881 | 3 | 08/19/1992 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Clarke | 1408665 | 2 | 07/31/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |