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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Robin Mollan | 4629054 | 1 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Steven James Bergmann | 1525281 | 2 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Shannon Dwain Moore | 2934682 | 2 | 05/02/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Cameron Michael Clark | 5010604 | 1 | 05/01/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John Prokos | 1553091 | 2 | 04/29/2024 | Customer Dispute | Settled | $52,000.00 | $0.00 | See FINRA Report |
| David Benjamin Nyquist | 4503469 | 1 | 04/29/2024 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Robert Renner Lane | 3100198 | 1 | 04/19/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Robert James McKee | 1223331 | 2 | 04/18/2024 | Customer Dispute | Pending | $20,000.00 | $0.00 | See FINRA Report |
| John William Cobb | 49179 | 2 | 04/18/2024 | Customer Dispute | Pending | $32,267.40 | $0.00 | See FINRA Report |
| Donald Francis Codori | 49451 | 1 | 04/17/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |