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 |
|---|---|---|---|---|---|---|---|---|
| John Emmanuel Simone | 2682073 | 2 | 08/16/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark E Young | 1800687 | 2 | 08/12/2020 | Customer Dispute | Settled | $6,490,410.00 | $0.00 | See FINRA Report |
| Daniel Michael Zimmerman | 4668115 | 3 | 08/10/2020 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Lawrence Henry Avery | 4388940 | 1 | 07/30/2020 | Customer Dispute | Denied | $10,826.70 | $0.00 | See FINRA Report |
| Melinda Cook McCullough | 5109052 | 9 | 07/29/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeremy Shane Hay | 2697622 | 2 | 07/29/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Junko Nagai | 5333608 | 1 | 07/22/2020 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Lester Hughes Lee | 2165724 | 2 | 07/17/2020 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Nicholas Jr Andrew Canuso | 4011415 | 1 | 07/16/2020 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Steven Albert Dean | 2759263 | 2 | 07/09/2020 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |