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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Lee Zaplin | 4515559 | 2 | 10/15/2018 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Lance Alan Sevier | 5418562 | 1 | 10/15/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Geoffrey King Nance | 2751297 | 1 | 10/10/2018 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Myla Marie Causing | 4428576 | 1 | 10/04/2018 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Jay Duane Champlain | 1054808 | 3 | 10/01/2018 | Customer Dispute | Denied | $12,342.80 | $0.00 | See FINRA Report |
| Demetrios Andrew Stylianos | 5453150 | 1 | 10/01/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frank Stuart | 4417262 | 3 | 09/26/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Reginald Gray Hunnicutt | 1245147 | 1 | 09/18/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Victor Rashid | 2803744 | 1 | 09/10/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kirk Mitchell Balin | 4590715 | 2 | 09/07/2018 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |