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 |
|---|---|---|---|---|---|---|---|---|
| Todd Lance Dreyer | 1686143 | 2 | 04/14/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Dennis Brown | 2426851 | 1 | 04/13/2009 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Matthew Paul Cook | 3092568 | 1 | 04/08/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Warren Bernard Gallagher | 2460167 | 5 | 03/10/2009 | Customer Dispute | Closed-No Action | $10,811.40 | $0.00 | See FINRA Report |
| Anthony Franklin Artero | 4401581 | 3 | 03/05/2009 | Customer Dispute | Closed-No Action | $460,000.00 | $0.00 | See FINRA Report |
| Ina Felder | 4501472 | 1 | 03/05/2009 | Customer Dispute | Closed-No Action | $7,800.00 | $0.00 | See FINRA Report |
| Stephen Jerome Lafollette | 2277109 | 1 | 02/20/2009 | Customer Dispute | Closed-No Action | $72,500.00 | $0.00 | See FINRA Report |
| Brent Jon Boraas | 2782487 | 1 | 02/16/2009 | Customer Dispute | Closed-No Action | $9,607.05 | $0.00 | See FINRA Report |
| James Darren Roberson | 4011813 | 3 | 02/11/2009 | Customer Dispute | Closed-No Action | $30,465.00 | $0.00 | See FINRA Report |
| Brandon Milton Hastings | 4770481 | 1 | 02/03/2009 | Customer Dispute | Closed-No Action | $50,109.50 | $0.00 | See FINRA Report |