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 |
|---|---|---|---|---|---|---|---|---|
| Roger Charles Sims | 2838516 | 1 | 01/18/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shad Ketcher | 2684383 | 1 | 01/06/2022 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Tim Paul Peyton | 1773817 | 7 | 01/03/2022 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Todd William Sivak | 2201246 | 1 | 12/22/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric M Jenson | 2873787 | 4 | 11/30/2021 | Customer Dispute | Settled | $9,601.44 | $0.00 | See FINRA Report |
| Douglas Lynwood Cash | 2792044 | 2 | 11/22/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Darrin Stuart Cohen | 2488435 | 3 | 11/09/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| William John Poulter | 3248404 | 1 | 11/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David G Meacham | 1045678 | 2 | 11/04/2021 | Customer Dispute | Settled | $137,000.00 | $0.00 | See FINRA Report |
| Christina Renee Garland | 3184560 | 1 | 10/29/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |