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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Francis Cusick | 5312345 | 3 | 12/06/2017 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Ryan Mathew Bishop | 5717244 | 1 | 12/01/2017 | Customer Dispute | Denied | $29,777.00 | $0.00 | See FINRA Report |
| Douglas Karl Heil | 2146265 | 1 | 11/27/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cathleen Nash Stevens | 2394642 | 2 | 11/27/2017 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Robert Scott Ginsberg | 5177531 | 4 | 11/21/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Matthew L Kuhns | 6342279 | 1 | 11/20/2017 | Customer Dispute | Settled | $4,999.00 | $0.00 | See FINRA Report |
| Richard Stuart Fineberg | 2732384 | 4 | 11/14/2017 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Christopher Michael Davis | 4000883 | 2 | 11/09/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Mark Alan Terwilliger | 2073807 | 1 | 11/03/2017 | Customer Dispute | Settled | $206,648.00 | $0.00 | See FINRA Report |
| Crystal Ann Kolcz | 5370408 | 1 | 10/26/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |