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 |
|---|---|---|---|---|---|---|---|---|
| Mounir I Ghaly | 4782545 | 1 | 11/18/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Ray Stike | 1439479 | 1 | 11/16/2022 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| David Earl Kimbler | 1132791 | 4 | 11/14/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Daniel Christensen | 5621865 | 1 | 11/11/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Dennis Shanahan | 4230069 | 2 | 11/11/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Edward Bishop | 2601318 | 1 | 11/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Shannon Hudgens | 3026050 | 3 | 11/08/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Benjamin Rhett Fordham | 4592437 | 5 | 11/07/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Matthew Claude Lamb | 6040125 | 1 | 11/07/2022 | Customer Dispute | Pending | $519,000.00 | $0.00 | See FINRA Report |
| Peter Allan Haupt | 4151430 | 2 | 11/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |