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 |
|---|---|---|---|---|---|---|---|---|
| David Lawrence Givnish | 2435299 | 1 | 01/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David John Venegas | 2027844 | 1 | 01/11/2020 | Customer Dispute | Denied | $16,483.40 | $0.00 | See FINRA Report |
| Richard Harris Sall | 1515945 | 3 | 01/10/2020 | Customer Dispute | Denied | $22,792.80 | $0.00 | See FINRA Report |
| Andrew John Dittberner | 2120518 | 1 | 01/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Zakery Dearinger | 6442682 | 2 | 12/31/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Patrick Welp | 2368419 | 1 | 12/30/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Angela Michelle Graham -West | 3004083 | 3 | 12/26/2019 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| Samuel Allen Phillips | 2486976 | 1 | 12/24/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Ronald Loiselle | 4330455 | 1 | 12/20/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Ellis Gann | 2144505 | 3 | 12/20/2019 | Customer Dispute | Settled | $52,000.00 | $0.00 | See FINRA Report |