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 |
|---|---|---|---|---|---|---|---|---|
| Eric Myre | 5113041 | 1 | 11/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Julie Marie Weik | 1931148 | 1 | 11/03/2022 | Customer Dispute | Pending | $16,000.00 | $0.00 | See FINRA Report |
| Mark Allen Barefield | 6481913 | 1 | 11/02/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Cory Lee Grandel | 2817226 | 1 | 10/27/2022 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Janelle O'Brien | 6159970 | 1 | 10/26/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| John E Pelletier | 4205289 | 2 | 10/24/2022 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Senh Ly | 4538978 | 1 | 10/21/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jane Alison Scarbrough | 869077 | 1 | 10/20/2022 | Customer Dispute | Denied | $245,000.00 | $0.00 | See FINRA Report |
| Joseph Martin Montgomery | 2537742 | 1 | 10/19/2022 | Customer Dispute | Pending | $11,046.10 | $0.00 | See FINRA Report |
| Taylor Davis Roberts | 2643411 | 1 | 10/19/2022 | Customer Dispute | Pending | $11,046.10 | $0.00 | See FINRA Report |