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 |
|---|---|---|---|---|---|---|---|---|
| Curtis William Howard | 1901041 | 1 | 06/04/2020 | Customer Dispute | Settled | $5,015.00 | $0.00 | See FINRA Report |
| Christopher Allan Watts | 4935714 | 2 | 05/27/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cynthia Rene Nagel | 2188850 | 2 | 05/26/2020 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Ellis Gann | 2144505 | 3 | 05/26/2020 | Customer Dispute | Settled | $82,500.00 | $0.00 | See FINRA Report |
| Daniel B Boyer | 858610 | 1 | 05/22/2020 | Customer Dispute | Settled | $19,500.00 | $0.00 | See FINRA Report |
| Thomas Boley Hunt | 1323743 | 3 | 05/21/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Maryanne Virginia Bessler | 2192223 | 3 | 05/19/2020 | Customer Dispute | Settled | $158,087.00 | $0.00 | See FINRA Report |
| Edwin Grover Egger | 4632331 | 1 | 05/16/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Todd Hargis | 4621537 | 1 | 05/14/2020 | Customer Dispute | Settled | $6,783.00 | $0.00 | See FINRA Report |
| David Scott Lex | 4386158 | 2 | 05/12/2020 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |