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 |
|---|---|---|---|---|---|---|---|---|
| Jason James Murphy | 4521914 | 2 | 03/09/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Steven Edwin Fairchild | 849127 | 3 | 03/09/2020 | Customer Dispute | Settled | $211,005.00 | $0.00 | See FINRA Report |
| Jason Tom Rossi | 4384426 | 3 | 03/09/2020 | Customer Dispute | Settled | $95,596.00 | $0.00 | See FINRA Report |
| Michael Joseph Fetzner | 207024 | 1 | 02/21/2020 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Ryan R Purkiss | 4351341 | 1 | 02/18/2020 | Customer Dispute | Settled | $5,500.00 | $0.00 | See FINRA Report |
| Tracy Lynn Raynor | 1713061 | 1 | 02/11/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Norman Miller | 1142801 | 2 | 02/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brandon Christopher Williams | 5239801 | 1 | 01/28/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Mark Alan Haenny | 4574656 | 2 | 01/27/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Allen Rekate | 2675879 | 2 | 01/25/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |