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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Gene Baize | 5713738 | 1 | 04/13/2023 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Angelo Frank Anello | 2835091 | 4 | 03/21/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Nouachi Vang | 5090132 | 1 | 02/28/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ervie Don Houston | 5527507 | 1 | 02/23/2023 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| John Hideki Yanagihara | 1037905 | 2 | 02/06/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rami Sassoon | 5270959 | 2 | 02/02/2023 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Shaun B Floresca | 4758697 | 3 | 02/02/2023 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Edward Terral Hill | 6008804 | 3 | 01/26/2023 | Customer Dispute | Settled | $18,163.00 | $0.00 | See FINRA Report |
| Robert T Li | 4068255 | 3 | 01/06/2023 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Robert T Li | 4068255 | 3 | 01/05/2023 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |