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 |
|---|---|---|---|---|---|---|---|---|
| Scott Willard Doll | 1087992 | 1 | 05/01/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Cleckner | 2500377 | 2 | 04/20/2020 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Robert Michael Willauer | 4412628 | 1 | 04/18/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Allen Rekate | 2675879 | 2 | 04/15/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Bruce Wagner | 1485336 | 1 | 04/14/2020 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Oscar Lee Harrison | 4174598 | 5 | 04/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Louis Dursi | 1684519 | 2 | 04/07/2020 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Burton Luke Apfelbaum | 2092567 | 1 | 04/03/2020 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Dawn Sheri West | 4797506 | 1 | 04/01/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Don Malboeuf | 4825607 | 2 | 03/31/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |