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 |
|---|---|---|---|---|---|---|---|---|
| Julie Ann Cook | 5715464 | 1 | 03/02/2018 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| John James Ricker | 5499151 | 1 | 02/28/2018 | Customer Dispute | Denied | $29,288.70 | $0.00 | See FINRA Report |
| Damon Darrell Walker | 2999280 | 3 | 02/23/2018 | Customer Dispute | Denied | $11,461.00 | $0.00 | See FINRA Report |
| Joseph Michael Jabar | 2761331 | 1 | 02/22/2018 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| John R Frenzel | 5612593 | 1 | 02/21/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vivienne Karin Schleu | 2670443 | 3 | 02/15/2018 | Customer Dispute | Denied | $49,000.00 | $0.00 | See FINRA Report |
| Jason William Urbaniak | 2834829 | 1 | 02/08/2018 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Mario Anthon Ruiz | 2795066 | 1 | 02/08/2018 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Vivienne Karin Schleu | 2670443 | 3 | 02/07/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Timothy Allen Kamin | 2770401 | 2 | 02/07/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |