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 |
|---|---|---|---|---|---|---|---|---|
| Angela Sue Schueman | 2502517 | 2 | 06/08/2022 | Customer Dispute | Settled | $93,231.00 | $0.00 | See FINRA Report |
| David Whayne Porter | 1003205 | 2 | 06/06/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert James Baptist | 1576889 | 6 | 06/03/2022 | Customer Dispute | Settled | $15,320.00 | $0.00 | See FINRA Report |
| Kevin M O'Brien | 1866397 | 1 | 05/19/2022 | Customer Dispute | Settled | $50,713.00 | $0.00 | See FINRA Report |
| Robert Michael Grenus | 2195781 | 6 | 05/19/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Richard Alan Maas | 3198288 | 1 | 05/13/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bryan Adam Kupchik | 2635746 | 1 | 05/13/2022 | Customer Dispute | Settled | $97,953.00 | $0.00 | See FINRA Report |
| Tony Scott Keena | 3014120 | 1 | 04/29/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Kennedy Ulwick | 1758865 | 2 | 04/29/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Yanique Keisha Paula Anderson | 4190639 | 1 | 04/20/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |