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 Frederick Lim | 1295868 | 7 | 07/03/1992 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Kenneth Marc Hutkin | 1344519 | 5 | 06/11/1992 | Customer Dispute | Settled | $291,000.00 | $0.00 | See FINRA Report |
| Mark Hanley Faler | 1406003 | 1 | 05/19/1992 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Joseph Nicholas Accardi | 728322 | 3 | 03/03/1992 | Customer Dispute | Settled | $77,000.00 | $0.00 | See FINRA Report |
| Edward Myles Lynch | 1058005 | 5 | 03/02/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Guy Martin Thompson | 1200443 | 2 | 02/11/1992 | Customer Dispute | Settled | $50,525.20 | $0.00 | See FINRA Report |
| Josef Albert Stark | 433881 | 3 | 01/28/1992 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Daniel Joseph McDonnell | 869016 | 1 | 01/18/1992 | Customer Dispute | Settled | $760,800.00 | $0.00 | See FINRA Report |
| Paul McCann Goodworth | 1087796 | 1 | 12/30/1991 | Customer Dispute | Settled | $17,474.00 | $0.00 | See FINRA Report |
| Dennis Leroy Marach | 1057445 | 1 | 12/09/1991 | Customer Dispute | Settled | $34,153.60 | $0.00 | See FINRA Report |