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FINRA Broker Disclosures for LPL Financial LLC

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.

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Displaying 51-60 out of 193 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Jason Matthew Nelson3069330104/08/2024Customer DisputePending$900,000.00$0.00See FINRA Report
Ricky Dewight Whitmire5121672204/01/2024Customer DisputePending$22,000.00$0.00See FINRA Report
Daniel Robert Catone4469467103/29/2024Customer DisputePending$0.00$0.00See FINRA Report
Timothy Michael Fraser4868026103/25/2024Customer DisputePending$2,000,000.00$0.00See FINRA Report
Patrick Dean Louise5810428103/25/2024Customer DisputePending$2,000,000.00$0.00See FINRA Report
Donald Paul Aulbert4119911103/19/2024Customer DisputePending$0.00$0.00See FINRA Report
Michael Drew Lynch2142722103/19/2024Customer DisputePending$0.00$0.00See FINRA Report
James Thomas Cassa2655896103/19/2024Customer DisputePending$0.00$0.00See FINRA Report
Cain Benjamin Kobert2673742203/19/2024Customer DisputePending$0.00$0.00See FINRA Report
Ryan Reynolds Leblanc2631068403/19/2024Customer DisputePending$0.00$0.00See FINRA Report

193 Results

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