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 |
|---|---|---|---|---|---|---|---|---|
| Eugene Donald Heflin | 3014225 | 1 | 10/19/2021 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Carlos Carrillo | 2110748 | 2 | 10/18/2021 | Customer Dispute | Settled | $17,486.30 | $0.00 | See FINRA Report |
| Jonathan David Cummings | 2715296 | 4 | 10/15/2021 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Jose Julian Cruz | 4771173 | 1 | 10/14/2021 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Robert Granberry Tatum | 1936605 | 1 | 10/11/2021 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Ismael Eradio Reyes Retana | 3250007 | 2 | 09/29/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan Robert Vogel | 6991634 | 1 | 09/10/2021 | Customer Dispute | Settled | $23,400.00 | $0.00 | See FINRA Report |
| Rashard Jermaine Cook | 5695685 | 1 | 09/07/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Cynthia Ann Giovacchino | 3274194 | 2 | 09/03/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ricky Joseph Ferrara | 2453547 | 1 | 09/02/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |