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 |
|---|---|---|---|---|---|---|---|---|
| Gaea Dawn Verneris | 5746574 | 1 | 11/23/2019 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Christopher S Freehill | 4628412 | 2 | 11/21/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jon P Glink | 5607927 | 1 | 11/21/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| William Frederick Fox | 1522234 | 3 | 11/21/2019 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Peter Cina | 1569473 | 1 | 11/18/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Matthew Shane Lusk | 4938407 | 1 | 11/14/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan Dale Upton | 4559794 | 4 | 11/06/2019 | Customer Dispute | Denied | $7,060.00 | $0.00 | See FINRA Report |
| Susan C Pokwatka | 2057823 | 1 | 11/04/2019 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Angela Michelle Graham -West | 3004083 | 3 | 11/04/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eddie Chewkwong Chan | 2290613 | 3 | 11/01/2019 | Customer Dispute | Denied | $19,483.20 | $0.00 | See FINRA Report |