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 |
|---|---|---|---|---|---|---|---|---|
| Kultar Singh Bindra | 6147537 | 3 | 01/12/2017 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Hao Du Lam | 2400918 | 1 | 01/11/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Ty Colby Hodges | 5090211 | 1 | 01/10/2017 | Customer Dispute | Denied | $16,495.50 | $0.00 | See FINRA Report |
| William R Berkowitz | 19518 | 4 | 01/09/2017 | Customer Dispute | Withdrawn | $6,100.00 | $0.00 | See FINRA Report |
| Michael Shane Patton | 2989887 | 1 | 01/06/2017 | Customer Dispute | Settled | $203,643.00 | $0.00 | See FINRA Report |
| Amee Sue Wright | 5211763 | 1 | 01/03/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Eric Paul Zeitler | 4178056 | 1 | 01/03/2017 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Chun Mei Zhu | 4863613 | 3 | 12/29/2016 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| Terrell Clayton Boone | 5469882 | 1 | 12/28/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gina G Francisco | 4490144 | 3 | 12/22/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |