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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Joseph Barger | 2200770 | 1 | 01/08/2018 | Customer Dispute | Withdrawn | $24,000.00 | $0.00 | See FINRA Report |
| Bill Nick Polizos | 6532127 | 1 | 01/04/2018 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Thomas C Russell | 2789783 | 1 | 01/03/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Denise Adel Heitsman | 2278509 | 1 | 12/28/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Diane Renee Polley | 2204866 | 1 | 12/28/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terry B Karch | 2574745 | 2 | 12/15/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nathan Marcus Rink | 4148748 | 1 | 12/12/2017 | Customer Dispute | Denied | $100,227.00 | $0.00 | See FINRA Report |
| Jason Robert Rolf | 4647219 | 1 | 12/12/2017 | Customer Dispute | Denied | $100,227.00 | $0.00 | See FINRA Report |
| Robert Scott Ginsberg | 5177531 | 4 | 12/07/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Michael Jackson | 2439885 | 2 | 12/06/2017 | Customer Dispute | Settled | $16,901.70 | $0.00 | See FINRA Report |