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 |
|---|---|---|---|---|---|---|---|---|
| James Edward Anderson | 2369611 | 1 | 05/16/2024 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Christian Harvey Johnston | 2601094 | 4 | 05/06/2024 | Customer Dispute | Withdrawn | $225,000.00 | $0.00 | See FINRA Report |
| Michele Sharpe Schneider | 1484720 | 2 | 05/02/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John Spyro Demertzis | 2690132 | 4 | 05/02/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Chelsea Brown Magby | 3120504 | 1 | 05/02/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Scott William Yanker | 1255764 | 1 | 05/02/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Shannon Dwain Moore | 2934682 | 2 | 05/02/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert James McKee | 1223331 | 2 | 03/19/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Todd Robert Gleason | 2204094 | 1 | 03/19/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Rychel | 2262582 | 1 | 02/16/2024 | Customer Dispute | Withdrawn | $70,000.00 | $0.00 | See FINRA Report |