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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Wade Guemmer | 1937105 | 1 | 07/24/2019 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| Mark Dougherty | 5716053 | 1 | 07/12/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Cody Douglas Callaway | 2571133 | 1 | 07/11/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Art F Cardenas | 3208265 | 1 | 07/11/2019 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Jessica Arlin Dun Young | 5844501 | 1 | 07/10/2019 | Customer Dispute | Denied | $44,854.00 | $0.00 | See FINRA Report |
| Heather Ann Boe | 2651331 | 1 | 07/09/2019 | Customer Dispute | Settled | $53,748.00 | $0.00 | See FINRA Report |
| Scott Ari Shaw | 4406793 | 2 | 07/02/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| George William Byykkonen | 2085016 | 1 | 07/02/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Ira Feiertag | 1280905 | 1 | 07/02/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Richard Humphreys | 820181 | 3 | 07/01/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |