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 |
|---|---|---|---|---|---|---|---|---|
| Liny Li | 5354656 | 2 | 03/13/2020 | Customer Dispute | Closed-No Action | $12,000.00 | $0.00 | See FINRA Report |
| Guillermo Alonzo Gastelum | 5100366 | 1 | 03/09/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Brian R. Bates | 2318413 | 5 | 02/07/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Nina Jo Hajjar | 5328724 | 2 | 12/07/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Todd Russell Youngberg | 5069739 | 2 | 10/03/2019 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Richard Lee Baker | 2731170 | 2 | 09/20/2019 | Customer Dispute | Closed-No Action | $240,000.00 | $0.00 | See FINRA Report |
| Randy Lee Peyman | 2204437 | 3 | 07/29/2019 | Customer Dispute | Closed-No Action | $13,750.00 | $0.00 | See FINRA Report |
| Patricia Marusarz | 1428684 | 1 | 06/24/2019 | Customer Dispute | Closed-No Action | $34,375.00 | $0.00 | See FINRA Report |
| Steven Michael Richardson | 1819383 | 2 | 03/04/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony New | 3011733 | 8 | 01/15/2019 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |