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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Harry Chapman | 2230482 | 6 | 03/04/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| John Fisher Weber | 2706600 | 1 | 03/01/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Dillender | 4066643 | 1 | 02/25/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Zachary Stuart | 6221269 | 2 | 02/25/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frederick Mark Atiyeh | 872352 | 4 | 02/22/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Stacee Rae Love-Malcolm | 4246711 | 5 | 02/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Luke Daniel Russell | 5619316 | 1 | 02/15/2019 | Customer Dispute | Settled | $67,371.00 | $0.00 | See FINRA Report |
| Thomas A Brophy | 1606861 | 2 | 02/12/2019 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Alberto Cavazos | 2124838 | 1 | 02/11/2019 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| James Edward Buchheit | 4724168 | 1 | 02/11/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |