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 |
|---|---|---|---|---|---|---|---|---|
| Michael Thomas Meehan | 1335317 | 1 | 04/11/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Seth Tyler Leishman | 5095063 | 1 | 04/11/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Michael Richardson | 1819383 | 2 | 04/11/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Colin Sean Casey | 5528170 | 1 | 04/02/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sumit Sharma | 5385957 | 1 | 03/25/2019 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |
| Bryan Marc Gravel | 5634671 | 2 | 03/21/2019 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| William Gale Stracener | 4219142 | 1 | 03/13/2019 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Kenneth Jason Day | 3234589 | 1 | 03/13/2019 | Customer Dispute | Final | $31,331.40 | $0.00 | See FINRA Report |
| Phillip Stephen Mahoney | 1482774 | 2 | 03/04/2019 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Steven Michael Richardson | 1819383 | 2 | 03/04/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |