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 |
|---|---|---|---|---|---|---|---|---|
| Linda Lee Ledzian | 2396188 | 2 | 12/02/2016 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |
| David Karl Wright | 2173337 | 2 | 12/02/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bruce Brett Palmer Emmeluth | 4707323 | 3 | 12/01/2016 | Customer Dispute | Settled | $12,713.10 | $0.00 | See FINRA Report |
| Thomas Gerard Harkins | 2719721 | 1 | 11/28/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lawrence Hedberg | 2180837 | 5 | 11/28/2016 | Customer Dispute | Denied | $127,532.00 | $0.00 | See FINRA Report |
| Kenneth Dicicco | 2932826 | 2 | 11/22/2016 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Preston Walter Zale | 846418 | 3 | 11/21/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Charles Champagne | 4169488 | 10 | 11/21/2016 | Customer Dispute | Settled | $164,772.00 | $0.00 | See FINRA Report |
| Andrew G Zale | 4674848 | 1 | 11/21/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Clay Sutherland | 1200157 | 3 | 11/21/2016 | Customer Dispute | Denied | $21,280.70 | $0.00 | See FINRA Report |