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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Alan Strajack | 2478705 | 1 | 05/04/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Charles Frederick Marques | 4711890 | 6 | 05/03/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gulsanga Jalawan | 4122740 | 1 | 04/29/2022 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Tony Scott Keena | 3014120 | 1 | 04/29/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Kennedy Ulwick | 1758865 | 2 | 04/29/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vivian Fengi Chuan Sun | 3031907 | 2 | 04/29/2022 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| John Orion Florence | 2336277 | 1 | 04/29/2022 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Grenus | 2195781 | 6 | 04/29/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Malik Jamaal Mallory | 6738444 | 1 | 04/27/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Yanique Keisha Paula Anderson | 4190639 | 1 | 04/20/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |