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 |
|---|---|---|---|---|---|---|---|---|
| H Brock Seibold | 4640150 | 2 | 08/12/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Robert Boehm | 3242506 | 1 | 08/09/2019 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| Yvonne Lara Silguero | 3211495 | 2 | 08/09/2019 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Darold Wing Mark | 1323253 | 3 | 08/08/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| David G Meacham | 1045678 | 2 | 08/06/2019 | Customer Dispute | Settled | $1,750,000.00 | $0.00 | See FINRA Report |
| Natalie Moon Lim-Taylor | 6783575 | 1 | 07/31/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Vincent Saltaformaggio | 4599534 | 2 | 07/30/2019 | Customer Dispute | Denied | $7,600.00 | $0.00 | See FINRA Report |
| Randy Lee Peyman | 2204437 | 3 | 07/29/2019 | Customer Dispute | Closed-No Action | $13,750.00 | $0.00 | See FINRA Report |
| Larysa Anatoliyivna Prytula | 4896049 | 1 | 07/29/2019 | Customer Dispute | Denied | $22,486.00 | $0.00 | See FINRA Report |
| John Brent Kesner | 1785716 | 2 | 07/29/2019 | Customer Dispute | Denied | $5,300.00 | $0.00 | See FINRA Report |