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 |
|---|---|---|---|---|---|---|---|---|
| Darrin Stuart Cohen | 2488435 | 3 | 03/11/2020 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Jason James Murphy | 4521914 | 2 | 03/09/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Steven Edwin Fairchild | 849127 | 3 | 03/09/2020 | Customer Dispute | Settled | $211,005.00 | $0.00 | See FINRA Report |
| Jason Tom Rossi | 4384426 | 3 | 03/09/2020 | Customer Dispute | Settled | $95,596.00 | $0.00 | See FINRA Report |
| Guillermo Alonzo Gastelum | 5100366 | 1 | 03/09/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Matthew Joseph Oconnor | 5276272 | 1 | 03/05/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mary Alice Henry | 717818 | 3 | 03/05/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth James Smith | 4351226 | 1 | 03/04/2020 | Customer Dispute | Denied | $197,844.00 | $0.00 | See FINRA Report |
| Callen Wayne Bryan | 1564405 | 2 | 03/03/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Callen Wayne Bryan | 1564405 | 2 | 03/03/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |