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 |
|---|---|---|---|---|---|---|---|---|
| Neelab Hakami | 5607049 | 1 | 03/02/2020 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Brian Neil Slade | 4073310 | 1 | 02/27/2020 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Fetzner | 207024 | 1 | 02/21/2020 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Kenneth Marc Hutkin | 1344519 | 5 | 02/20/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory Steven Henning | 3111355 | 1 | 02/19/2020 | Customer Dispute | Denied | $9,213.15 | $0.00 | See FINRA Report |
| Robert Bruce Eberst | 2656135 | 3 | 02/19/2020 | Customer Dispute | Denied | $116,139.00 | $0.00 | See FINRA Report |
| Ryan R Purkiss | 4351341 | 1 | 02/18/2020 | Customer Dispute | Settled | $5,500.00 | $0.00 | See FINRA Report |
| James Maurice Farmer | 1268068 | 1 | 02/11/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tracy Lynn Raynor | 1713061 | 1 | 02/11/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wendy Marie Cundari | 2118351 | 5 | 02/10/2020 | Customer Dispute | Denied | $10,950.00 | $0.00 | See FINRA Report |