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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Henry Dewitt | 6446018 | 1 | 01/28/2018 | Customer Dispute | Denied | $37,000.00 | $0.00 | See FINRA Report |
| Carey Lee Koele | 2311641 | 10 | 01/26/2018 | Customer Dispute | Denied | $5,323.00 | $0.00 | See FINRA Report |
| Paul John Zaio | 2249646 | 3 | 01/23/2018 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Derek Green | 2313496 | 3 | 01/19/2018 | Customer Dispute | Closed-No Action | $31,000.00 | $0.00 | See FINRA Report |
| Diana Lynn Avery | 1792296 | 1 | 01/19/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Graham Charles Green | 2348534 | 3 | 01/18/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael David Bennett | 1633152 | 1 | 01/12/2018 | Customer Dispute | Settled | $6,021.00 | $0.00 | See FINRA Report |
| William Weaks Brennan | 4144935 | 2 | 01/11/2018 | Customer Dispute | Settled | $22,978.20 | $0.00 | See FINRA Report |
| Jack Wendell Griffith | 1446978 | 5 | 01/10/2018 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Jack Wendell Griffith | 1446978 | 5 | 01/10/2018 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |