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 |
|---|---|---|---|---|---|---|---|---|
| Michael Robert Gennawey | 5141484 | 1 | 01/11/2024 | Customer Dispute | Denied | $12,360.40 | $0.00 | See FINRA Report |
| Bruce Brett Palmer Emmeluth | 4707323 | 3 | 12/27/2023 | Customer Dispute | Denied | $1,600,000.00 | $0.00 | See FINRA Report |
| Ray W Nishikawa | 4355724 | 2 | 12/15/2023 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Mark Edward Engle | 1962431 | 4 | 12/11/2023 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Jonathan Dale Upton | 4559794 | 4 | 12/07/2023 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Douglas Eugene Shepler | 2253405 | 1 | 11/28/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sidney Russell Schroader | 1100245 | 1 | 11/17/2023 | Customer Dispute | Denied | $650.00 | $0.00 | See FINRA Report |
| Casey Patrick Orourke | 5232499 | 1 | 11/07/2023 | Customer Dispute | Denied | $2,260.05 | $0.00 | See FINRA Report |
| Ronald Ray Schmidt | 2365707 | 2 | 11/03/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Timothy Owens | 2703898 | 6 | 10/23/2023 | Customer Dispute | Denied | $14,695.00 | $0.00 | See FINRA Report |