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 |
|---|---|---|---|---|---|---|---|---|
| Charles William Bourgeois | 1029499 | 2 | 11/17/2016 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Joseph John Gillespie | 1560524 | 1 | 11/16/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Benson Fox | 4135542 | 1 | 11/16/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Frank Welsh | 720913 | 2 | 11/14/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joel Robert Drake | 2178512 | 1 | 11/10/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Blaine Cunningham | 5276333 | 1 | 11/10/2016 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Michael Herman Cunningham | 2499939 | 1 | 11/10/2016 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Philip E Hecker | 6500679 | 1 | 11/10/2016 | Customer Dispute | Closed-No Action | $5,150.53 | $0.00 | See FINRA Report |
| Nicholas David Dalessandro | 6355371 | 1 | 11/09/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Dennis Charles Jackson | 4330396 | 1 | 11/07/2016 | Customer Dispute | Denied | $61,000.00 | $0.00 | See FINRA Report |