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 |
|---|---|---|---|---|---|---|---|---|
| Robert Michael Willauer | 4412628 | 1 | 04/18/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Candra Lynn Oakes-Niswanger | 4235023 | 1 | 04/17/2020 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Justin Cody Larkin | 5524150 | 1 | 04/16/2020 | Customer Dispute | Denied | $5,001.00 | $0.00 | See FINRA Report |
| Brian J Samec | 4254156 | 1 | 04/16/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Shu Chi Liu Ouk | 5533941 | 1 | 04/15/2020 | Customer Dispute | Denied | $6,850.80 | $0.00 | See FINRA Report |
| Roger Allen Rekate | 2675879 | 2 | 04/15/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Bruce Wagner | 1485336 | 1 | 04/14/2020 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Oscar Lee Harrison | 4174598 | 5 | 04/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Francis Bacher | 5565922 | 1 | 04/07/2020 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| James Allan Helfinstine | 2425243 | 2 | 04/07/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |