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 |
|---|---|---|---|---|---|---|---|---|
| Mark Alan Terwilliger | 2073807 | 1 | 11/03/2017 | Customer Dispute | Settled | $206,648.00 | $0.00 | See FINRA Report |
| Crystal Ann Kolcz | 5370408 | 1 | 10/26/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| George William Johnson | 4797697 | 1 | 10/26/2017 | Customer Dispute | Settled | $11,891.50 | $0.00 | See FINRA Report |
| Michael Brian McGinley | 4386069 | 1 | 10/23/2017 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Leon Paul Rehak | 2331058 | 2 | 10/19/2017 | Customer Dispute | Settled | $499,000.00 | $0.00 | See FINRA Report |
| Angela Michelle Graham -West | 3004083 | 3 | 10/19/2017 | Customer Dispute | Settled | $499,000.00 | $0.00 | See FINRA Report |
| Gordon Andrew Robinson | 2300158 | 1 | 10/12/2017 | Customer Dispute | Settled | $101,510.00 | $0.00 | See FINRA Report |
| George V Howe | 2260666 | 2 | 10/12/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward George Murphy | 1432979 | 4 | 10/11/2017 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Roy Andrew Moen | 1022088 | 2 | 09/26/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |