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 |
|---|---|---|---|---|---|---|---|---|
| Ismael Eradio Reyes Retana | 3250007 | 3 | 09/29/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark E Young | 1800687 | 2 | 09/29/2021 | Customer Dispute | Settled | $4,179,860.00 | $0.00 | See FINRA Report |
| Scott Alan Turcott | 3123428 | 3 | 09/23/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jonathan Robert Vogel | 6991634 | 1 | 09/10/2021 | Customer Dispute | Settled | $23,400.00 | $0.00 | See FINRA Report |
| Rashard Jermaine Cook | 5695685 | 1 | 09/07/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ricky Joseph Ferrara | 2453547 | 1 | 09/02/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Lawrence Edward Mullins | 1507204 | 1 | 08/27/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Christopher Charles Bradford | 4572707 | 3 | 08/27/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kimberly Ann Kennedy | 1487140 | 2 | 08/24/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Marty Gore Dennis | 3052556 | 1 | 08/16/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |