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 |
|---|---|---|---|---|---|---|---|---|
| Kimberly Ann Kennedy | 1487140 | 2 | 10/22/2020 | Customer Dispute | Settled | $235,000.00 | $0.00 | See FINRA Report |
| Joseph Paul Pearce | 3152074 | 1 | 10/22/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Julius Pappas | 2899904 | 3 | 10/20/2020 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Eugene James Yelverton | 2185387 | 1 | 10/19/2020 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Scott Alan Turcott | 3123428 | 3 | 10/06/2020 | Customer Dispute | Denied | $100,914.00 | $0.00 | See FINRA Report |
| Alex Gregory Gutierrez | 6200774 | 1 | 09/29/2020 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Evan Lunsford | 5756621 | 3 | 09/29/2020 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Chun Mei Zhu | 4863613 | 3 | 09/25/2020 | Customer Dispute | Denied | $26,774.00 | $0.00 | See FINRA Report |
| Anthony P Ragusa | 4075624 | 1 | 09/24/2020 | Customer Dispute | Settled | $22,322.00 | $0.00 | See FINRA Report |
| Teresa Diana Owsley | 2483337 | 2 | 09/24/2020 | Customer Dispute | Denied | $9,259.83 | $0.00 | See FINRA Report |