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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Edward Faherty | 2258287 | 2 | 03/09/2021 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Robert Forest Haddorff | 1050869 | 3 | 02/19/2021 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Frederick Mark Atiyeh | 872352 | 4 | 02/11/2021 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| David M Rice | 2971029 | 2 | 01/19/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Scott Lex | 4386158 | 2 | 09/23/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Ryan Reynolds Leblanc | 2631068 | 4 | 09/09/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Allan Helfinstine | 2425243 | 2 | 04/07/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| 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 | 6 | 02/07/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |