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 |
|---|---|---|---|---|---|---|---|---|
| Donald Herman Renkemeyer | 2451558 | 1 | 01/28/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Roy E Cook | 3129380 | 1 | 09/06/2011 | Customer Dispute | Withdrawn | $60,000.00 | $0.00 | See FINRA Report |
| Darius Gregory Michalski | 2520180 | 6 | 04/27/2011 | Customer Dispute | Withdrawn | $28,171.00 | $0.00 | See FINRA Report |
| Thomas Earl Seifert | 867911 | 1 | 03/21/2011 | Customer Dispute | Withdrawn | $1,100,000.00 | $0.00 | See FINRA Report |
| David Michael Jackson | 2439885 | 2 | 01/07/2011 | Customer Dispute | Withdrawn | $200,000.00 | $0.00 | See FINRA Report |
| John Vinson Hogin | 1872422 | 2 | 11/10/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Matthew William Cinco | 2579479 | 1 | 10/27/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Frank Baggio | 2032490 | 2 | 04/28/2010 | Customer Dispute | Withdrawn | $72,381.40 | $0.00 | See FINRA Report |
| Richard Lewis Williams | 2071231 | 1 | 03/25/2010 | Customer Dispute | Withdrawn | $114,000.00 | $0.00 | See FINRA Report |
| David Allen Kroeninger | 1326537 | 1 | 03/18/2010 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |