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FINRA Broker Disclosures for LPL Financial LLC

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.

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Displaying 121-130 out of 5,466 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Teddy R Ezzell1527524202/08/2024Customer DisputeClosed-No Action$0.00$0.00See FINRA Report
Mario Brian Barone1160694102/08/2024Customer DisputePending$0.00$0.00See FINRA Report
Joshua Paul Renfro5774724102/08/2024Customer DisputeClosed-No Action$0.00$0.00See FINRA Report
Jarrett Seiji Imamura3036591102/08/2024Customer DisputePending$0.00$0.00See FINRA Report
Celia Mae Scott2870484202/05/2024Customer DisputeDenied$0.00$0.00See FINRA Report
Damon Merrill Mapes4011748202/05/2024Customer DisputePending$250,000.00$0.00See FINRA Report
David Patrick Ford2246830101/31/2024Customer DisputeDenied$0.00$0.00See FINRA Report
Steven John Mayer4138239201/29/2024Customer DisputePending$0.00$0.00See FINRA Report
Randall Wilson Harris1565851101/25/2024Customer DisputeDenied$20,000.00$0.00See FINRA Report
Thomas A Cavaliere4435562101/25/2024Customer DisputeSettled$300,000.00$0.00See FINRA Report

5,466 Results

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