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 |
|---|---|---|---|---|---|---|---|---|
| Hao Du Lam | 2400918 | 1 | 01/11/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| William R Berkowitz | 19518 | 4 | 01/09/2017 | Customer Dispute | Withdrawn | $6,100.00 | $0.00 | See FINRA Report |
| Caleb Nathaniel Russell | 4276877 | 1 | 12/07/2016 | Customer Dispute | Withdrawn | $65,111.00 | $0.00 | See FINRA Report |
| Alexandra Marquez | 5320953 | 2 | 04/19/2016 | Customer Dispute | Withdrawn | $773,506.00 | $0.00 | See FINRA Report |
| Jack George Varcados | 4204040 | 1 | 03/02/2016 | Customer Dispute | Withdrawn | $2,000,000.00 | $0.00 | See FINRA Report |
| Lily Karying Tan | 5007809 | 2 | 02/09/2016 | Customer Dispute | Withdrawn | $29,957.90 | $0.00 | See FINRA Report |
| Michael Henry Wright | 3255791 | 1 | 12/16/2015 | Customer Dispute | Withdrawn | $198,750.00 | $179,395.00 | See FINRA Report |
| Imran Jaffer Thanvi | 3052653 | 1 | 12/30/2014 | Customer Dispute | Withdrawn | $6,855.00 | $0.00 | See FINRA Report |
| Gregory Scott Mason | 5174552 | 2 | 08/14/2014 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Nathan Paul Keller | 3081819 | 2 | 04/30/2014 | Customer Dispute | Withdrawn | $18,227.00 | $0.00 | See FINRA Report |