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 |
|---|---|---|---|---|---|---|---|---|
| Richard John Tidwell | 2728487 | 3 | 08/22/2019 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Matthew Robert Boehm | 3242506 | 1 | 08/09/2019 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| Yvonne Lara Silguero | 3211495 | 2 | 08/09/2019 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Darold Wing Mark | 1323253 | 3 | 08/08/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| David G Meacham | 1045678 | 2 | 08/06/2019 | Customer Dispute | Settled | $1,750,000.00 | $0.00 | See FINRA Report |
| Heather Ann Boe | 2651331 | 1 | 07/09/2019 | Customer Dispute | Settled | $53,748.00 | $0.00 | See FINRA Report |
| Scott Ari Shaw | 4406793 | 2 | 07/02/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Ira Feiertag | 1280905 | 1 | 07/02/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicolas A Radisay | 4215313 | 1 | 06/25/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kevin Zachary Kraft | 4658879 | 1 | 05/22/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |