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 |
|---|---|---|---|---|---|---|---|---|
| Derek Green | 2313496 | 3 | 01/19/2018 | Customer Dispute | Closed-No Action | $31,000.00 | $0.00 | See FINRA Report |
| Robert Scott Ginsberg | 5177531 | 4 | 12/07/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Patrick Francis Cusick | 5312345 | 3 | 12/06/2017 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Peter Larry Schmidt | 1219354 | 1 | 10/18/2017 | Customer Dispute | Closed-No Action | $16,717.00 | $3,372.00 | See FINRA Report |
| Tom Aguilera | 4212310 | 1 | 09/13/2017 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| William Benjamin Dusenbury Herritage | 4027113 | 2 | 08/29/2017 | Customer Dispute | Closed-No Action | $52,000.00 | $0.00 | See FINRA Report |
| Catherine Ann Ford | 4531681 | 2 | 08/17/2017 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Norbert Yuchiu Chen | 4135834 | 1 | 05/18/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian R Bates | 2318413 | 6 | 05/02/2017 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |
| Todd Allen Fritz | 1550445 | 1 | 03/13/2017 | Customer Dispute | Closed-No Action | $10,050.00 | $0.00 | See FINRA Report |