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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Martin Dee | 6556042 | 1 | 03/13/2017 | Customer Dispute | Denied | $5,000.00 | $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 |
| Cortland Luster Golightly | 5184204 | 2 | 03/10/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael William Morris | 2818335 | 2 | 03/06/2017 | Customer Dispute | Settled | $22,834.00 | $0.00 | See FINRA Report |
| Clint Michael Farabaugh | 5229815 | 2 | 03/06/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adam Jason Henderson | 3249546 | 1 | 03/04/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Andrew Hall | 6147535 | 1 | 03/03/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Larry Demar Boggs | 24875 | 2 | 03/02/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Owen Shepard | 2786981 | 1 | 03/01/2017 | Customer Dispute | Settled | $78,457.00 | $0.00 | See FINRA Report |
| Edward Hickey | 3020399 | 1 | 02/28/2017 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |