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 |
|---|---|---|---|---|---|---|---|---|
| John Orion Florence | 2336277 | 1 | 04/29/2022 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Gulsanga Jalawan | 4122740 | 1 | 04/29/2022 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Dennis Ray Greensage | 1066149 | 1 | 07/01/2021 | Customer Dispute | Withdrawn | $85,000.00 | $0.00 | See FINRA Report |
| Ryan Edward Ferrin | 4959515 | 1 | 07/01/2021 | Customer Dispute | Withdrawn | $85,000.00 | $0.00 | See FINRA Report |
| Bernell D Baker | 5493956 | 5 | 03/24/2021 | Customer Dispute | Withdrawn | $48,000.00 | $0.00 | See FINRA Report |
| Michael William Haley | 1784225 | 1 | 12/29/2020 | Customer Dispute | Withdrawn | $230,000.00 | $0.00 | See FINRA Report |
| John Louie Morrison | 1751511 | 3 | 12/29/2020 | Customer Dispute | Withdrawn | $230,000.00 | $0.00 | See FINRA Report |
| Margaret Louise Logue | 2939540 | 2 | 09/01/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Darin Andrew Stevens | 4051859 | 2 | 03/30/2020 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Caleb Merrill Stephens | 5878158 | 3 | 01/17/2019 | Customer Dispute | Withdrawn | $72,000.00 | $0.00 | See FINRA Report |