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 |
|---|---|---|---|---|---|---|---|---|
| Hunter Leon Little | 2798163 | 1 | 12/14/2016 | Customer Dispute | Settled | $49,571.20 | $0.00 | See FINRA Report |
| Timothy Paul Lata | 2295579 | 1 | 12/13/2016 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| David Moberg Nash | 6143498 | 2 | 12/12/2016 | Customer Dispute | Settled | $6,896.00 | $0.00 | See FINRA Report |
| Michael James Henschel | 3112890 | 4 | 12/09/2016 | Customer Dispute | Denied | $7,633.65 | $0.00 | See FINRA Report |
| Frank A Orlando | 4844280 | 2 | 12/09/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Grant Higgins | 4785771 | 2 | 12/07/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daniel Robert Wallach | 4754378 | 2 | 12/07/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Caleb Nathaniel Russell | 4276877 | 1 | 12/07/2016 | Customer Dispute | Withdrawn | $65,111.00 | $0.00 | See FINRA Report |
| Daniel Henry Weninger | 2515818 | 1 | 12/05/2016 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Timothy Benjamin Wyand | 4835214 | 1 | 12/02/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |