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 |
|---|---|---|---|---|---|---|---|---|
| Stephanie J O'Hara | 4251796 | 1 | 03/14/2022 | Customer Dispute | Award / Judgment | $0.00 | $1.00 | See FINRA Report |
| Rey Whitehorn | 3034822 | 2 | 04/16/2018 | Customer Dispute | Award / Judgment | $0.00 | $6,212.50 | See FINRA Report |
| Chun Mei Zhu | 4863613 | 3 | 07/31/2017 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |
| Richard Clarence Deyoung | 863849 | 3 | 06/07/2017 | Customer Dispute | Award / Judgment | $650,000.00 | $750,000.00 | See FINRA Report |
| Kodi Robert Hermann | 3241432 | 2 | 04/18/2017 | Customer Dispute | Award / Judgment | $9,064.03 | $10,889.00 | See FINRA Report |
| Charles Alan Correal | 1366202 | 6 | 04/10/2017 | Customer Dispute | Award / Judgment | $38,426.30 | $7,500.00 | See FINRA Report |
| Ismael Eradio Reyes Retana | 3250007 | 3 | 04/07/2017 | Customer Dispute | Award / Judgment | $3,759,710.00 | $0.00 | See FINRA Report |
| Yvonne Lara Silguero | 3211495 | 2 | 04/07/2017 | Customer Dispute | Award / Judgment | $3,759,710.00 | $0.00 | See FINRA Report |
| Anthony Thomas Conti | 1447173 | 1 | 10/20/2016 | Customer Dispute | Award / Judgment | $2,200,000.00 | $0.00 | See FINRA Report |
| Charles Alan Correal | 1366202 | 6 | 02/29/2016 | Customer Dispute | Award / Judgment | $180,000.00 | $110,000.00 | See FINRA Report |