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 |
|---|---|---|---|---|---|---|---|---|
| Robert Michael Thorne | 2163929 | 2 | 05/22/2019 | Customer Dispute | Settled | $6,251.70 | $0.00 | See FINRA Report |
| Robert Anthony Rogers | 5574011 | 1 | 05/17/2019 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Jonathan Stuart Kleager | 2401317 | 2 | 05/10/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bret Patrick Edensword | 6172778 | 1 | 05/10/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| John Brent Kesner | 1785716 | 2 | 05/02/2019 | Customer Dispute | Settled | $41,098.00 | $0.00 | See FINRA Report |
| Robert Scott Ginsberg | 5177531 | 4 | 04/29/2019 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Steven Michael Richardson | 1819383 | 2 | 04/11/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Colin Sean Casey | 5528170 | 1 | 04/02/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Harry Chapman | 2230482 | 6 | 03/04/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Frederick Mark Atiyeh | 872352 | 4 | 02/22/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |