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 |
|---|---|---|---|---|---|---|---|---|
| Michael Glenn Chandler | 2696470 | 2 | 01/27/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Shawn Milton Nelson | 2773883 | 1 | 01/26/2022 | Customer Dispute | Settled | $24,049.00 | $0.00 | See FINRA Report |
| Todd Andrew Rosen | 4183799 | 2 | 01/24/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan David Cummings | 2715296 | 4 | 01/21/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Roger Charles Sims | 2838516 | 1 | 01/18/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jason Wayne Forsythe | 6041878 | 1 | 01/14/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alec Herbert | 6580572 | 1 | 01/11/2022 | Customer Dispute | Closed-No Action | $20,793.90 | $0.00 | See FINRA Report |
| Shad Ketcher | 2684383 | 1 | 01/06/2022 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Jeffrey Neil Feinberg | 1381541 | 1 | 01/06/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tim Paul Peyton | 1773817 | 7 | 01/03/2022 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |