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 |
|---|---|---|---|---|---|---|---|---|
| Ray W Nishikawa | 4355724 | 2 | 12/15/2023 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Mark Edward Engle | 1962431 | 4 | 12/11/2023 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Jonathan Dale Upton | 4559794 | 4 | 12/07/2023 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| John David Anderson | 2818878 | 1 | 12/06/2023 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Freddie Lee Barbour | 1603035 | 2 | 12/04/2023 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Edward Baroncini | 3043354 | 11 | 11/30/2023 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |
| Jeffrey Obermeyer Parker | 5163334 | 1 | 11/29/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Gary White | 5381460 | 1 | 11/29/2023 | Customer Dispute | Settled | $26,552.00 | $0.00 | See FINRA Report |
| Douglas Eugene Shepler | 2253405 | 1 | 11/28/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Bowden Simmermon | 5283860 | 1 | 11/21/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |