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 |
|---|---|---|---|---|---|---|---|---|
| Michael Scott McHugh | 2821693 | 1 | 03/24/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ilan N Tsapovski | 4331422 | 1 | 03/24/2020 | Customer Dispute | Settled | $36,588.90 | $0.00 | See FINRA Report |
| Darrin Stuart Cohen | 2488435 | 3 | 03/20/2020 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Kenneth Lee Christie | 2218257 | 1 | 03/18/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeanann M Kramer | 4897459 | 1 | 03/18/2020 | Customer Dispute | Settled | $11,475.00 | $0.00 | See FINRA Report |
| Wilber Aguirre | 5090257 | 1 | 03/16/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Liny Li | 5354656 | 2 | 03/13/2020 | Customer Dispute | Closed-No Action | $12,000.00 | $0.00 | See FINRA Report |
| Gregory William Kearney | 3245312 | 1 | 03/13/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Power Rainbolt | 5191959 | 1 | 03/13/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Clarence Deyoung | 863849 | 3 | 03/12/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |