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 |
|---|---|---|---|---|---|---|---|---|
| Edward Ray Stike | 1439479 | 1 | 11/16/2022 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Nicholas James Larsen | 5722014 | 1 | 11/15/2022 | Customer Dispute | Settled | $15,342.00 | $0.00 | See FINRA Report |
| Michael Dennis Shanahan | 4230069 | 2 | 11/11/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Daniel Christensen | 5621865 | 1 | 11/11/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Claude Lamb | 6040125 | 1 | 11/07/2022 | Customer Dispute | Settled | $519,000.00 | $0.00 | See FINRA Report |
| Benjamin Rhett Fordham | 4592437 | 5 | 11/07/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Julie Marie Briar | 1931148 | 1 | 11/03/2022 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| David John Segarra | 4482059 | 3 | 11/03/2022 | Customer Dispute | Withdrawn | $33,000.00 | $0.00 | See FINRA Report |
| Mark Allen Barefield | 6481913 | 1 | 11/02/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Janelle O'Brien | 6159970 | 1 | 10/26/2022 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |