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 |
|---|---|---|---|---|---|---|---|---|
| Tamara Lynn Shumate Brown | 1472004 | 1 | 07/31/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Everett Lyle Johnson | 4539323 | 3 | 06/29/2009 | Customer Dispute | Withdrawn | $31,000.00 | $0.00 | See FINRA Report |
| Kenneth William van Leeuwen | 734389 | 1 | 05/05/2009 | Customer Dispute | Withdrawn | $700,000.00 | $0.00 | See FINRA Report |
| Francis Albert Bautz | 3217237 | 2 | 04/21/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Tracy Garcia Applewhite | 2338659 | 1 | 03/19/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Jon Sartorius | 1056097 | 2 | 03/06/2009 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Michael Francis Cuttita | 2456540 | 3 | 02/27/2009 | Customer Dispute | Withdrawn | $48,465.10 | $0.00 | See FINRA Report |
| Amal Benbrahim | 1861109 | 3 | 12/31/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Anthony William Frigoletto | 2902070 | 3 | 10/17/2008 | Customer Dispute | Withdrawn | $20,201.90 | $0.00 | See FINRA Report |
| Carlo Anthony Panaccione | 1531543 | 2 | 10/13/2008 | Customer Dispute | Withdrawn | $1,700,000.00 | $0.00 | See FINRA Report |