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 |
|---|---|---|---|---|---|---|---|---|
| Daniel William Sopher | 1254823 | 2 | 04/26/2021 | Customer Dispute | Settled | $73,000.00 | $0.00 | See FINRA Report |
| Oscar Lee Harrison | 4174598 | 5 | 04/22/2021 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Stacy Hunter Martin | 3132033 | 2 | 04/16/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brenton Friden Stransky | 4891199 | 1 | 04/15/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Christopher C Hathaway | 4395186 | 1 | 04/07/2021 | Customer Dispute | Settled | $8,501.00 | $0.00 | See FINRA Report |
| Andrew Melikidse | 2353534 | 3 | 04/01/2021 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Derek Huntington Coburn | 3090520 | 1 | 03/29/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bernell D Baker | 5493956 | 4 | 03/24/2021 | Customer Dispute | Withdrawn | $48,000.00 | $0.00 | See FINRA Report |
| Julie Elizabeth Sagatelian | 3026123 | 2 | 03/18/2021 | Customer Dispute | Denied | $22,064.00 | $0.00 | See FINRA Report |
| Terry William Stogsdill | 6133517 | 2 | 03/17/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |