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 |
|---|---|---|---|---|---|---|---|---|
| Mark Norman Miller | 1142801 | 2 | 02/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian R Bates | 2318413 | 6 | 02/07/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Ernest Darren Renner | 4634264 | 1 | 02/05/2020 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Brandon Christopher Williams | 5239801 | 1 | 01/28/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Mark Alan Haenny | 4574656 | 2 | 01/27/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Allen Rekate | 2675879 | 2 | 01/25/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence Potomac | 714236 | 1 | 01/22/2020 | Customer Dispute | Denied | $65,944.00 | $0.00 | See FINRA Report |
| Cole Lawrence Mills | 4278314 | 1 | 01/21/2020 | Customer Dispute | Denied | $73,600.00 | $0.00 | See FINRA Report |
| Craig Jan Snyder | 1012937 | 1 | 01/20/2020 | Customer Dispute | Denied | $66,000.00 | $0.00 | See FINRA Report |
| William Dunkley Franklin | 2674988 | 1 | 01/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |