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 |
|---|---|---|---|---|---|---|---|---|
| Nicolas A Radisay | 4215313 | 1 | 06/25/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Patricia Marusarz | 1428684 | 1 | 06/24/2019 | Customer Dispute | Closed-No Action | $34,375.00 | $0.00 | See FINRA Report |
| Bernard August Ventura | 1106080 | 2 | 06/10/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Bradley Fisher | 3260362 | 1 | 06/06/2019 | Customer Dispute | Denied | $32,509.10 | $0.00 | See FINRA Report |
| George James Wehrheim | 461431 | 2 | 05/30/2019 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| Steven Joseph Case | 1935087 | 2 | 05/24/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Zachary Kraft | 4658879 | 1 | 05/22/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Thorne | 2163929 | 2 | 05/22/2019 | Customer Dispute | Settled | $6,251.70 | $0.00 | See FINRA Report |
| Jonathan Dale Upton | 4559794 | 4 | 05/21/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Rogers | 5574011 | 1 | 05/17/2019 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |