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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Ray Powell | 1289962 | 5 | 03/27/2017 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Casey Alan Bright | 6272561 | 2 | 03/23/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Linda Lee Ledzian | 2396188 | 2 | 03/20/2017 | Customer Dispute | Denied | $12,300.00 | $0.00 | See FINRA Report |
| George William Kovka | 1004166 | 1 | 03/16/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey James Carson | 2309712 | 1 | 03/16/2017 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Monessa N Duran | 5818284 | 1 | 03/16/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stacee Rae Love-Malcolm | 4246711 | 5 | 03/15/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Egils Ozols | 1414603 | 1 | 03/15/2017 | Customer Dispute | Settled | $324,853.00 | $0.00 | See FINRA Report |
| Virginia Jamka | 4380828 | 4 | 03/14/2017 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Alicia Beth Curtis | 3012509 | 1 | 03/14/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |