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 |
|---|---|---|---|---|---|---|---|---|
| William Paul Czaplewski | 2386057 | 2 | 07/23/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Nelson Schrader | 2170990 | 2 | 06/06/2018 | Customer Dispute | Settled | $28,857.00 | $0.00 | See FINRA Report |
| William Jeffrey | 1468603 | 1 | 06/05/2018 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Jason Richard Karr | 4535371 | 1 | 05/17/2018 | Customer Dispute | Settled | $7,182.00 | $0.00 | See FINRA Report |
| Michael Glenn Chandler | 2696470 | 2 | 05/16/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Altin Tirana | 4837498 | 5 | 05/10/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael George Botwinick | 1057151 | 2 | 05/07/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Ullmann | 5474380 | 1 | 04/13/2018 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |
| Reece A Cernoch | 5847226 | 1 | 04/12/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Michael Frayler | 4441215 | 1 | 04/10/2018 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |