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 |
|---|---|---|---|---|---|---|---|---|
| Peter Larry Schmidt | 1219354 | 1 | 10/18/2017 | Customer Dispute | Closed-No Action | $16,717.00 | $3,372.00 | See FINRA Report |
| Timothy Dale Reeves | 1770544 | 3 | 10/17/2017 | Customer Dispute | Denied | $16,472.30 | $0.00 | See FINRA Report |
| Gordon Andrew Robinson | 2300158 | 1 | 10/12/2017 | Customer Dispute | Settled | $101,510.00 | $0.00 | See FINRA Report |
| George V Howe | 2260666 | 2 | 10/12/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward George Murphy | 1432979 | 4 | 10/11/2017 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Stacee Rae Love-Malcolm | 4246711 | 5 | 10/09/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Randy Alan Malm | 5668172 | 3 | 10/05/2017 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |
| Linda Ann Walker | 717509 | 2 | 10/04/2017 | Customer Dispute | Denied | $9,940.00 | $0.00 | See FINRA Report |
| Michael Conway Bree | 2061318 | 1 | 10/03/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Andre Edgar Beckles | 1864333 | 3 | 09/28/2017 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |