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 |
|---|---|---|---|---|---|---|---|---|
| Todd William Sivak | 2201246 | 1 | 12/22/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Darryl Randall Ferguson | 4104760 | 2 | 12/22/2021 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Darryl Randall Ferguson | 4104760 | 2 | 12/22/2021 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Heather Diane Ponsano | 6016516 | 4 | 12/21/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregory Jay Gursey | 2070836 | 3 | 12/16/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian Jesse Singleton | 4838440 | 3 | 12/02/2021 | Customer Dispute | Pending | $31,679.00 | $0.00 | See FINRA Report |
| William John Poulter | 3248404 | 1 | 11/05/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Erik Donald Anderson | 5409074 | 1 | 10/18/2021 | Customer Dispute | Pending | $95,000.00 | $0.00 | See FINRA Report |
| Robert Anthony Ryan | 1950475 | 1 | 10/18/2021 | Customer Dispute | Pending | $95,000.00 | $0.00 | See FINRA Report |
| William Benjamin Dusenbury Herritage | 4027113 | 2 | 10/13/2021 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |