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 |
|---|---|---|---|---|---|---|---|---|
| Russell Todd McAlonie | 2229603 | 2 | 02/16/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Patrick Milo | 1824688 | 6 | 05/19/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Patrick Milo | 1824688 | 6 | 05/18/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Edward Faherty | 2258287 | 2 | 03/09/2021 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Robert Forest Haddorff | 1050869 | 3 | 02/19/2021 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| David M Rice | 2971029 | 2 | 01/19/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Scott Lex | 4386158 | 2 | 09/23/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Ryan Reynolds Leblanc | 2631068 | 3 | 09/09/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Merri Carol Hall | 1867854 | 1 | 04/14/2020 | Customer Dispute | Closed-No Action | $21,000.00 | $0.00 | See FINRA Report |
| James Allan Helfinstine | 2425243 | 2 | 04/07/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |