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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Yvonne Lara Silguero | 3211495 | 2 | 04/07/2017 | Customer Dispute | Award / Judgment | $3,759,710.00 | $0.00 | See FINRA Report |
| Ismael Eradio Reyes Retana | 3250007 | 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 |
| Terry Lee Bailey | 1935959 | 3 | 02/03/2016 | Customer Dispute | Award / Judgment | $22,665.60 | $2,500.00 | See FINRA Report |
| Thomas Michael Fross | 4509874 | 4 | 01/06/2016 | Customer Dispute | Award / Judgment | $24,000.00 | $0.00 | See FINRA Report |
| David William Hart | 4503764 | 2 | 07/22/2014 | Customer Dispute | Award / Judgment | $3,800,000.00 | $725,000.00 | See FINRA Report |
| Bryce Scott Wilinski | 4900714 | 2 | 05/27/2014 | Customer Dispute | Award / Judgment | $11,818,700.00 | $0.00 | See FINRA Report |