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 |
|---|---|---|---|---|---|---|---|---|
| Brent L Blaus | 2563015 | 1 | 10/31/2019 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |
| Scott Christopher Smith | 3238070 | 2 | 10/29/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Logan J Reed | 5354145 | 1 | 10/28/2019 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Adam Christopher Johnston | 4688345 | 1 | 10/21/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John William McKenzie | 4058168 | 1 | 10/18/2019 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Raymond Paul Scannell | 1870166 | 1 | 10/15/2019 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Bryan L Schneider | 3000758 | 5 | 10/11/2019 | Customer Dispute | Denied | $36,095.80 | $0.00 | See FINRA Report |
| Patrick Brian Devlin | 4851412 | 1 | 10/07/2019 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Todd Russell Youngberg | 5069739 | 2 | 10/03/2019 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Curtis Lee Howard | 1390753 | 3 | 10/02/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |