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 |
|---|---|---|---|---|---|---|---|---|
| James Raymond Clark | 1368707 | 1 | 05/13/2019 | Customer Dispute | Denied | $8,900.00 | $0.00 | See FINRA Report |
| Jonathan Stuart Kleager | 2401317 | 2 | 05/10/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bret Patrick Edensword | 6172778 | 1 | 05/10/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| John Pat White | 3237990 | 3 | 05/10/2019 | Customer Dispute | Denied | $18,625.00 | $0.00 | See FINRA Report |
| John Brent Kesner | 1785716 | 2 | 05/02/2019 | Customer Dispute | Settled | $41,098.00 | $0.00 | See FINRA Report |
| Felicia A Jacobs | 6137478 | 1 | 05/01/2019 | Customer Dispute | Denied | $172,000.00 | $0.00 | See FINRA Report |
| Timothy Brian Kenyon | 1324495 | 3 | 04/30/2019 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Robert Scott Ginsberg | 5177531 | 4 | 04/29/2019 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Michael Charles Mondello | 3207826 | 3 | 04/16/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Allen Lee Wilferd Herman | 2405076 | 1 | 04/15/2019 | Customer Dispute | Denied | $19,300.00 | $0.00 | See FINRA Report |