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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Claude Lamb | 6040125 | 1 | 11/07/2022 | Customer Dispute | Settled | $519,000.00 | $0.00 | See FINRA Report |
| Benjamin Rhett Fordham | 4592437 | 5 | 11/07/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Janelle O'Brien | 6159970 | 1 | 10/26/2022 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Barry Stuart Kemp | 2405285 | 2 | 10/13/2022 | Customer Dispute | Settled | $23,500.00 | $0.00 | See FINRA Report |
| Richard John Donatelli | 1652397 | 3 | 09/26/2022 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| William Frederick Fox | 1522234 | 3 | 09/20/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Adam Eisler | 2503507 | 5 | 09/08/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Martin Hoghaug | 2374957 | 1 | 08/01/2022 | Customer Dispute | Settled | $17,483.30 | $0.00 | See FINRA Report |
| Frederick W Arbusto | 4357069 | 2 | 08/01/2022 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Travis Jay Kohn | 6112397 | 1 | 08/01/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |