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 |
|---|---|---|---|---|---|---|---|---|
| Steven Holman King | 2105758 | 2 | 07/09/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Brent Chancellor | 6223895 | 1 | 07/01/2021 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Daniel Gene Witham | 2139442 | 7 | 06/30/2021 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Tornincaso | 1195100 | 1 | 06/28/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John Prokos | 1553091 | 2 | 06/12/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steve Gerard Kluthe | 5279481 | 1 | 06/10/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kole Thomas Petersen | 5250732 | 1 | 06/10/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Andrew Raskin | 4701782 | 4 | 06/07/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barbara Elizabeth Leonard | 4607044 | 2 | 06/04/2021 | Customer Dispute | Denied | $25,357.90 | $0.00 | See FINRA Report |
| Jack Brent Godfrey | 2928652 | 3 | 06/01/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |