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 |
|---|---|---|---|---|---|---|---|---|
| Todd William Sivak | 2201246 | 1 | 12/22/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Dibernardo | 2603040 | 2 | 12/20/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wendy Marie Cundari | 2118351 | 5 | 12/09/2021 | Customer Dispute | Denied | $12,551.70 | $0.00 | See FINRA Report |
| James Ryan Chandler | 5948315 | 1 | 12/02/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dario Kerkez | 5283327 | 1 | 12/01/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chase Eric Jenson | 6876027 | 1 | 11/30/2021 | Customer Dispute | Denied | $9,601.44 | $0.00 | See FINRA Report |
| Eric M Jenson | 2873787 | 4 | 11/30/2021 | Customer Dispute | Settled | $9,601.44 | $0.00 | See FINRA Report |
| Douglas Lynwood Cash | 2792044 | 2 | 11/22/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kelly Ann Waring | 1199855 | 2 | 11/18/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Harry Chapman | 2230482 | 6 | 11/15/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |