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 |
|---|---|---|---|---|---|---|---|---|
| Norbert Yuchiu Chen | 4135834 | 1 | 05/18/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ryan Paul Lanning | 5842437 | 1 | 05/09/2017 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Shane Allen Crist | 2686457 | 1 | 05/08/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Grant Hartman Ulrick | 2860140 | 2 | 05/08/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ronald Joseph Huck | 4153534 | 1 | 05/04/2017 | Customer Dispute | Denied | $19,455.00 | $0.00 | See FINRA Report |
| Laurence Michael Wajsman | 2002744 | 2 | 05/04/2017 | Customer Dispute | Denied | $19,455.00 | $0.00 | See FINRA Report |
| Richard Douglas Chiarenza | 2426633 | 3 | 05/02/2017 | Customer Dispute | Denied | $10,733.20 | $0.00 | See FINRA Report |
| Brian R Bates | 2318413 | 6 | 05/02/2017 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |
| Laila Sobhi Marshall-Pence | 710521 | 4 | 04/28/2017 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Sean Michael McEvoy | 4359206 | 1 | 04/21/2017 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |