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 |
|---|---|---|---|---|---|---|---|---|
| Stanley John Chronowski | 2398750 | 4 | 04/22/2005 | Customer Dispute | Withdrawn | $172,666.00 | $0.00 | See FINRA Report |
| Anthony William Frigoletto | 2902070 | 3 | 04/21/2005 | Customer Dispute | Withdrawn | $20,934.00 | $0.00 | See FINRA Report |
| Erick Arndt | 4718619 | 1 | 12/16/2004 | Customer Dispute | Withdrawn | $17,608.00 | $0.00 | See FINRA Report |
| Joy Sachiko Kodama | 4083004 | 1 | 09/10/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Marvin Muilenberg | 1057888 | 1 | 06/15/2004 | Customer Dispute | Withdrawn | $14,339.00 | $0.00 | See FINRA Report |
| Laila Sobhi Marshall-Pence | 710521 | 4 | 05/06/2004 | Customer Dispute | Withdrawn | $228,866.00 | $0.00 | See FINRA Report |
| Wayne P Sellar | 2052716 | 5 | 04/24/2003 | Customer Dispute | Withdrawn | $151,000.00 | $0.00 | See FINRA Report |
| Alan Barry Krichman | 1608713 | 2 | 04/22/2003 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Michael Harvey Carley | 3078960 | 1 | 04/10/2003 | Customer Dispute | Withdrawn | $8,358.00 | $0.00 | See FINRA Report |
| James Francis Worfolk | 2629619 | 1 | 01/31/2003 | Customer Dispute | Withdrawn | $36,852.00 | $0.00 | See FINRA Report |