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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Michael Console | 4191206 | 3 | 11/02/2016 | Customer Dispute | Denied | $7,176.78 | $0.00 | See FINRA Report |
| Leon Paul Rehak | 2331058 | 2 | 11/01/2016 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| M. Scot Lance | 2264884 | 3 | 10/26/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Paul Behl | 1216009 | 3 | 10/26/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Robert Elhoff | 76936 | 2 | 10/25/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Katz | 1240739 | 4 | 10/25/2016 | Customer Dispute | Denied | $30,009.00 | $0.00 | See FINRA Report |
| R Douglas Collier | 4300430 | 1 | 10/24/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ryan J Alderfer | 5172171 | 1 | 10/24/2016 | Customer Dispute | Denied | $10,492.00 | $0.00 | See FINRA Report |
| Michael Steven Brady | 4370182 | 1 | 10/21/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Thomas Conti | 1447173 | 1 | 10/20/2016 | Customer Dispute | Award / Judgment | $2,200,000.00 | $0.00 | See FINRA Report |