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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Curtis Stotler | 5937069 | 1 | 08/10/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Jones Fannin | 3166145 | 9 | 08/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marcus John Mrugala | 2737770 | 1 | 08/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Clifford Graham | 3263494 | 5 | 07/25/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Clifford Graham | 3263494 | 5 | 07/25/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Clifford Graham | 3263494 | 5 | 07/20/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Clifford Graham | 3263494 | 5 | 07/17/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hayley Beatrice Higgins | 2363766 | 2 | 07/07/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Jack Jacoby | 2541027 | 1 | 07/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Erin Colleen Eason | 4468573 | 9 | 06/29/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |