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 |
|---|---|---|---|---|---|---|---|---|
| David Scott Lex | 4386158 | 2 | 09/23/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| David Jon Nastri | 5178144 | 2 | 09/21/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Alan Correal | 1366202 | 6 | 09/20/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cheryl Lynn Marquez | 1903735 | 1 | 09/17/2020 | Customer Dispute | Settled | $119,594.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Hackbarth | 5481113 | 1 | 09/15/2020 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Shannon Renee Neal | 3161893 | 1 | 09/15/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Linda Karen Howard | 1922648 | 5 | 09/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Mark Armstrong | 2808264 | 1 | 09/10/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Preston Jason Bellaire | 4028710 | 2 | 09/10/2020 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Ryan Reynolds Leblanc | 2631068 | 4 | 09/09/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |