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 Louis Dursi | 1684519 | 2 | 04/07/2020 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| John George Chanda | 4231236 | 1 | 04/06/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Burton Luke Apfelbaum | 2092567 | 1 | 04/03/2020 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Dawn Sheri West | 4797506 | 1 | 04/01/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Natasha Boris Titova | 4079963 | 1 | 04/01/2020 | Customer Dispute | Denied | $53,000.00 | $0.00 | See FINRA Report |
| Joseph Don Malboeuf | 4825607 | 2 | 03/31/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Darin Andrew Stevens | 4051859 | 2 | 03/30/2020 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Patrick Donald Pepper | 4950695 | 2 | 03/30/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Earl Stanlick | 2411358 | 8 | 03/30/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael James Henschel | 3112890 | 4 | 03/27/2020 | Customer Dispute | Denied | $13,900.00 | $0.00 | See FINRA Report |