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 |
|---|---|---|---|---|---|---|---|---|
| David James Lincoln | 706040 | 1 | 01/25/1986 | Customer Dispute | Settled | $14,285.70 | $0.00 | See FINRA Report |
| Stephen Takashi Sugai | 439390 | 1 | 06/21/1985 | Customer Dispute | Settled | $76,394.40 | $0.00 | See FINRA Report |
| John William Cobb | 49179 | 2 | 02/19/1985 | Customer Dispute | Settled | $153,150.00 | $0.00 | See FINRA Report |
| Preston Walter Zale | 846418 | 3 | 02/07/1985 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Charles Dewitt Baker | 715764 | 2 | 12/19/1984 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| Don Merwyn Hosack | 721604 | 2 | 11/05/1984 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Ronny Lynn Knight | 272435 | 3 | 03/01/1982 | Customer Dispute | Settled | $74,805.00 | $0.00 | See FINRA Report |
| Edmund Colwell McNeil | 1112322 | 3 | 01/10/1982 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |