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 |
|---|---|---|---|---|---|---|---|---|
| George William Johnson | 4797697 | 1 | 10/26/2017 | Customer Dispute | Settled | $11,891.50 | $0.00 | See FINRA Report |
| Scott William Cody | 2941734 | 2 | 10/24/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daniel Lee Grote | 4502811 | 1 | 10/24/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Benjamin Garner | 706036 | 3 | 10/23/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Brian McGinley | 4386069 | 1 | 10/23/2017 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Leon Paul Rehak | 2331058 | 2 | 10/19/2017 | Customer Dispute | Settled | $499,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Costello | 2455506 | 1 | 10/19/2017 | Customer Dispute | Denied | $8,179.09 | $0.00 | See FINRA Report |
| Angela Michelle Graham -West | 3004083 | 3 | 10/19/2017 | Customer Dispute | Settled | $499,000.00 | $0.00 | See FINRA Report |
| Michael Douglass Frost | 2000358 | 3 | 10/19/2017 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Stephen Michael Rice | 2467232 | 1 | 10/19/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |