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 |
|---|---|---|---|---|---|---|---|---|
| Reece A Cernoch | 5847226 | 1 | 04/12/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Michael Frayler | 4441215 | 1 | 04/10/2018 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Justin Robert Peek | 4888261 | 2 | 03/28/2018 | Customer Dispute | Settled | $17,143.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Thompson | 4602601 | 1 | 03/21/2018 | Customer Dispute | Settled | $759,745.00 | $0.00 | See FINRA Report |
| Robert Wayne Martin | 1559029 | 1 | 03/19/2018 | Customer Dispute | Denied | $8,585.00 | $0.00 | See FINRA Report |
| Bret Matthew Anderson | 5224213 | 2 | 03/17/2018 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Nicole Danielle Jervis | 4505938 | 2 | 03/14/2018 | Customer Dispute | Settled | $10,322.00 | $0.00 | See FINRA Report |
| William Philip Tyler | 1072383 | 1 | 03/06/2018 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| John Patrick Cingel | 1068635 | 1 | 03/06/2018 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Michael Andrew Cohn | 4617830 | 1 | 03/05/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |