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 |
---|---|---|---|---|---|---|---|---|
Teddy R Ezzell | 1527524 | 2 | 02/08/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
Mario Brian Barone | 1160694 | 1 | 02/08/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
Joshua Paul Renfro | 5774724 | 1 | 02/08/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
Jarrett Seiji Imamura | 3036591 | 1 | 02/08/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
Celia Mae Scott | 2870484 | 2 | 02/05/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Damon Merrill Mapes | 4011748 | 2 | 02/05/2024 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
David Patrick Ford | 2246830 | 1 | 01/31/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Steven John Mayer | 4138239 | 2 | 01/29/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
Randall Wilson Harris | 1565851 | 1 | 01/25/2024 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
Thomas A Cavaliere | 4435562 | 1 | 01/25/2024 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |