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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan David Cummings | 2715296 | 4 | 06/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Darren Altic | 2425449 | 1 | 06/08/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tracy Lewis Randle | 2089183 | 1 | 06/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Colleen Nell Lenard | 2488516 | 1 | 06/05/2020 | Customer Dispute | Denied | $18,500.00 | $0.00 | See FINRA Report |
| Brent Daniel Jackson | 2609161 | 1 | 06/04/2020 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Curtis William Howard | 1901041 | 1 | 06/04/2020 | Customer Dispute | Settled | $5,015.00 | $0.00 | See FINRA Report |
| Jonathan Christian Bridges | 5068608 | 1 | 05/31/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Allan Watts | 4935714 | 2 | 05/27/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cynthia Rene Nagel | 2188850 | 2 | 05/26/2020 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Ellis Gann | 2144505 | 3 | 05/26/2020 | Customer Dispute | Settled | $82,500.00 | $0.00 | See FINRA Report |