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 |
|---|---|---|---|---|---|---|---|---|
| Sandra Young Mee Cho | 4593652 | 2 | 12/19/2013 | Customer Dispute | Withdrawn | $140,000.00 | $0.00 | See FINRA Report |
| Andre Aflalo | 4584723 | 3 | 02/04/2013 | Customer Dispute | Withdrawn | $200,000.00 | $0.00 | See FINRA Report |
| Anthony Franklin Artero | 4401581 | 3 | 11/21/2012 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See FINRA Report |
| Christopher Michael Hagen | 4412715 | 32 | 08/17/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Linda Ann Read | 2021360 | 1 | 05/25/2012 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Andre Aflalo | 4584723 | 3 | 04/04/2012 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See FINRA Report |
| Donald Herman Renkemeyer | 2451558 | 1 | 01/28/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John B Hess | 1843712 | 1 | 05/11/2011 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Darius Gregory Michalski | 2520180 | 6 | 04/27/2011 | Customer Dispute | Withdrawn | $28,171.00 | $0.00 | See FINRA Report |
| Thomas Earl Seifert | 867911 | 1 | 03/21/2011 | Customer Dispute | Withdrawn | $1,100,000.00 | $0.00 | See FINRA Report |