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 |
|---|---|---|---|---|---|---|---|---|
| Justin Alan Dams | 5028623 | 1 | 04/19/2022 | Customer Dispute | Denied | $32,398.00 | $0.00 | See FINRA Report |
| Jack Brent Godfrey | 2928652 | 3 | 04/18/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Stephen Myers | 2609878 | 3 | 04/13/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Andy S Rampersaud | 4030919 | 7 | 04/11/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Norberg | 6952674 | 1 | 04/10/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vladimir Michael Greben | 2547477 | 2 | 04/08/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Christopher Carl Cavallaro | 2125009 | 10 | 04/05/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kimberly A Parker Hansen | 2742360 | 1 | 03/31/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Michael Ford | 2651512 | 3 | 03/30/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Frank Stuart | 4417262 | 3 | 03/28/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |