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 |
|---|---|---|---|---|---|---|---|---|
| Craig Lynn Miller | 1024569 | 1 | 09/12/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Eugene Hall | 6601879 | 1 | 09/08/2022 | Customer Dispute | Denied | $215,000.00 | $0.00 | See FINRA Report |
| Joseph Adam Eisler | 2503507 | 5 | 09/08/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Alan Sheehan | 3185230 | 1 | 09/07/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Allen Chaffee | 1017449 | 5 | 08/29/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Margaret Joan Collins | 4007444 | 1 | 08/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Benjamin Julio Lecroy | 2666961 | 2 | 08/26/2022 | Customer Dispute | Denied | $72,073.20 | $0.00 | See FINRA Report |
| Michael Robert Rose | 4332792 | 1 | 08/19/2022 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Paul Martin Hoghaug | 2374957 | 1 | 08/01/2022 | Customer Dispute | Settled | $17,483.30 | $0.00 | See FINRA Report |
| Frederick W Arbusto | 4357069 | 2 | 08/01/2022 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |