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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Shane Lusk | 4938407 | 1 | 11/14/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Susan C Pokwatka | 2057823 | 1 | 11/04/2019 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Patrick Brian Devlin | 4851412 | 1 | 10/07/2019 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Curtis Lee Howard | 1390753 | 3 | 10/02/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Steven Charles Champagne | 4169488 | 10 | 09/20/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jon Reece Thompson | 2555481 | 1 | 09/19/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Timothy R Steffen | 4434648 | 1 | 09/19/2019 | Customer Dispute | Settled | $23,333.70 | $0.00 | See FINRA Report |
| Andrew Joseph Donnelly | 2134964 | 1 | 09/05/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick Jacob Boland | 5658792 | 1 | 08/30/2019 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| George Ly | 4630985 | 2 | 08/23/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |