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 |
|---|---|---|---|---|---|---|---|---|
| Jorge Armando Morales | 4485239 | 1 | 12/01/2009 | Customer Dispute | Withdrawn | $8,490.00 | $0.00 | See FINRA Report |
| Mark William Goldberg | 223978 | 3 | 09/09/2009 | Customer Dispute | Withdrawn | $46,000.00 | $0.00 | See FINRA Report |
| Tamara Lynn Shumate Brown | 1472004 | 1 | 07/31/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Everett Lyle Johnson | 4539323 | 3 | 06/29/2009 | Customer Dispute | Withdrawn | $31,000.00 | $0.00 | See FINRA Report |
| Kenneth William van Leeuwen | 734389 | 1 | 05/05/2009 | Customer Dispute | Withdrawn | $700,000.00 | $0.00 | See FINRA Report |
| Tracy Garcia Applewhite | 2338659 | 1 | 03/19/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Troy Charles Jordan | 819125 | 1 | 03/19/2009 | Customer Dispute | Withdrawn | $90,000.00 | $0.00 | See FINRA Report |
| Jeffrey Jon Sartorius | 1056097 | 2 | 03/06/2009 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Michael Francis Cuttita | 2456540 | 3 | 02/27/2009 | Customer Dispute | Withdrawn | $48,465.10 | $0.00 | See FINRA Report |
| Amal Benbrahim | 1861109 | 3 | 12/31/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |