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 |
|---|---|---|---|---|---|---|---|---|
| Douglas James Lockwood | 2583201 | 1 | 08/31/2017 | Customer Dispute | Denied | $68,222.10 | $0.00 | See FINRA Report |
| William Benjamin Dusenbury Herritage | 4027113 | 2 | 08/29/2017 | Customer Dispute | Closed-No Action | $52,000.00 | $0.00 | See FINRA Report |
| Jordan P Rider | 5292169 | 3 | 08/28/2017 | Customer Dispute | Settled | $475,597.00 | $0.00 | See FINRA Report |
| Catherine Ann Ford | 4531681 | 2 | 08/17/2017 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Michael McNeal | 1693732 | 1 | 08/14/2017 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Charles Alan Correal | 1366202 | 6 | 08/09/2017 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Richard Michael Gilbertson | 4726962 | 1 | 08/09/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ronald John Garutti | 2632419 | 2 | 08/08/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jenny Lynn Logsdon | 4216236 | 1 | 08/01/2017 | Customer Dispute | Denied | $16,800.00 | $0.00 | See FINRA Report |
| Chun Mei Zhu | 4863613 | 3 | 07/31/2017 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |