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 |
|---|---|---|---|---|---|---|---|---|
| Jay Gordon Panzer | 4176745 | 2 | 01/20/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Foster Huisinga | 4499347 | 2 | 01/20/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Roy Jonathan Nazaroff | 3164424 | 1 | 01/19/2021 | Customer Dispute | Settled | $32,000.00 | $0.00 | See FINRA Report |
| David M Rice | 2971029 | 2 | 01/19/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Brown | 1963751 | 1 | 01/12/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Johnny Kenard Rutledge | 5507113 | 2 | 01/11/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Joseph Coppola | 5299418 | 1 | 01/10/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Albert Dean | 2759263 | 2 | 01/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Frank Hopper | 1426713 | 1 | 01/04/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew S Wesner | 4171738 | 2 | 12/29/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |