Docket Nexus — Federal court records.
Company · Investment Banking & Securities

Lpl Financial LLC

Federal civil lawsuits naming Lpl Financial LLC, a Investment Banking & Securities company.

Public CompanyInvestment Banking & Securities
Ticker
Nasdaq: LPLA
Business
Security & Commodity Brokers, Dealers, Exchanges & Services
Headquarters
San Diego, CA
Incorporated in
Delaware
SEC CIK
1397911

Lpl Financial LLC is a public company in Security & Commodity Brokers, Dealers, Exchanges & Services, based in San Diego, CA (traded on Nasdaq as LPLA, incorporated in Delaware). It appears in 26 federal civil lawsuits in this index, most often as a defendant (20 of 26). These cases are most often Contract and Federal Tax / Statutory Actions matters, filed between 2008 and 2026, most frequently in District Court, S.D. Texas. The most common causes of action are RICO, Employment Discrimination, and Civil Rights. A frequent opposing party is Lpl Financial Corporation.

26
Lawsuits
20
As Defendant
7
As Plaintiff
4
Open
22
Terminated
2008–2026
Span
4 mo
Median Duration
1.4 cases/yrPredominantly defendant · 77%Activity rising

Cases by State

AL — 0 casesAZ — 0 casesAR — 0 casesCA — 0 casesCO — 0 casesCT — 0 casesDE — 0 casesDC — 1 casesFL — 0 casesGA — 0 casesID — 1 casesIL — 0 casesIN — 0 casesIA — 0 casesKS — 0 casesKY — 0 casesLA — 3 casesME — 0 casesMD — 0 casesMA — 0 casesMI — 2 casesMN — 0 casesMS — 0 casesMO — 0 casesMT — 0 casesNE — 0 casesNV — 1 casesNH — 2 casesNJ — 0 casesNM — 1 casesNY — 1 casesNC — 2 casesND — 0 casesOH — 0 casesOK — 0 casesOR — 0 casesPA — 2 casesRI — 0 casesSC — 2 casesSD — 0 casesTN — 0 casesTX — 7 casesUT — 0 casesVT — 0 casesVA — 0 casesWA — 0 casesWV — 0 casesWI — 0 casesWY — 1 cases

Open Cases Over Time

2008peak 5 open2026

Case Types Over Time

20082026
ContractFederal Tax / Statutory ActionsCivil RightsRICO / Consumer / Other StatutesSecurities / Commodities

Filings by Year

20082026

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Contract9
Federal Tax / Statutory Actions7
Civil Rights4
RICO / Consumer / Other Statutes3
Securities / Commodities2
Labor1

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Frequent Opposing Parties

26 Cases — Newest First