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 |
|---|---|---|---|---|---|---|---|---|
| Anthony William Frigoletto | 2902070 | 3 | 10/17/2008 | Customer Dispute | Withdrawn | $20,201.90 | $0.00 | See FINRA Report |
| Robert Louis Iglehart | 2212056 | 2 | 10/13/2008 | Customer Dispute | Withdrawn | $12,782.70 | $0.00 | See FINRA Report |
| Carlo Anthony Panaccione | 1531543 | 2 | 10/13/2008 | Customer Dispute | Withdrawn | $1,700,000.00 | $0.00 | See FINRA Report |
| Steven Richard Ostrander | 1794204 | 1 | 10/08/2008 | Customer Dispute | Withdrawn | $31,946.00 | $0.00 | See FINRA Report |
| Gregory James Weigand | 2245415 | 2 | 08/14/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Douglas Edward Frazier | 2979461 | 1 | 07/07/2008 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Ira Marc Shapiro | 2186029 | 1 | 06/12/2008 | Customer Dispute | Withdrawn | $150,000.00 | $0.00 | See FINRA Report |
| Peter Marvin Arnold | 1448707 | 1 | 05/13/2008 | Customer Dispute | Withdrawn | $91,400.00 | $0.00 | See FINRA Report |
| Irma Lincoln Hampton | 1327137 | 2 | 04/28/2008 | Customer Dispute | Withdrawn | $1,000.00 | $0.00 | See FINRA Report |
| Jeffrey Graham Newell | 2696211 | 2 | 03/12/2008 | Customer Dispute | Withdrawn | $10,535.00 | $0.00 | See FINRA Report |