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 |
|---|---|---|---|---|---|---|---|---|
| Deborah Gant | 1746384 | 6 | 04/14/2008 | Customer Dispute | Closed-No Action | $22,949.80 | $0.00 | See FINRA Report |
| Deborah Gant | 1746384 | 6 | 04/14/2008 | Customer Dispute | Closed-No Action | $24,086.40 | $0.00 | See FINRA Report |
| Dominick John Riolo | 1440019 | 2 | 04/03/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Galina Kolossovsky | 4389205 | 2 | 03/31/2008 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Michael Patrick Henderson | 1584057 | 1 | 03/27/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mathew Todd Goldberg | 4416675 | 3 | 03/26/2008 | Customer Dispute | Closed-No Action | $300,000.00 | $0.00 | See FINRA Report |
| Brian Joseph Casey | 4138182 | 4 | 03/26/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Garth Woodward | 2431845 | 1 | 03/14/2008 | Customer Dispute | Closed-No Action | $16,000.00 | $0.00 | See FINRA Report |
| Albert Gonzalez | 2123952 | 2 | 03/07/2008 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Kenton Andrew Hauxwell | 2885905 | 1 | 03/07/2008 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |