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 |
|---|---|---|---|---|---|---|---|---|
| Charles Alan Correal | 1366202 | 6 | 04/20/2017 | Customer Dispute | Settled | $22,600.00 | $0.00 | See FINRA Report |
| Kelly G McClain | 4549306 | 2 | 04/19/2017 | Customer Dispute | Settled | $32,000.00 | $0.00 | See FINRA Report |
| Cynthia Day Laroche | 1183365 | 2 | 04/19/2017 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Kodi Robert Hermann | 3241432 | 2 | 04/18/2017 | Customer Dispute | Award / Judgment | $9,064.03 | $10,889.00 | See FINRA Report |
| Max Dennis Miracle | 1634769 | 2 | 04/13/2017 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Charles Alan Correal | 1366202 | 6 | 04/10/2017 | Customer Dispute | Award / Judgment | $38,426.30 | $7,500.00 | See FINRA Report |
| Ismael Eradio Reyes Retana | 3250007 | 3 | 04/07/2017 | Customer Dispute | Award / Judgment | $3,759,710.00 | $0.00 | See FINRA Report |
| Yvonne Lara Silguero | 3211495 | 2 | 04/07/2017 | Customer Dispute | Award / Judgment | $3,759,710.00 | $0.00 | See FINRA Report |
| Michael James Henschel | 3112890 | 4 | 04/03/2017 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Ken Anthony Bradshaw | 6192508 | 3 | 03/28/2017 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |