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 |
|---|---|---|---|---|---|---|---|---|
| James Joseph McCrorey | 2006059 | 1 | 02/28/2017 | Customer Dispute | Settled | $16,327.40 | $0.00 | See FINRA Report |
| Cortland Luster Golightly | 5184204 | 2 | 02/28/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerome Michael Madden | 2595807 | 1 | 02/27/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Kwun Kevin Yue Wong | 2661405 | 1 | 02/27/2017 | Customer Dispute | Denied | $6,875.00 | $0.00 | See FINRA Report |
| Brooks W Stevens | 6024560 | 1 | 02/27/2017 | Customer Dispute | Settled | $7,917.87 | $0.00 | See FINRA Report |
| Jeffrey Walker Weston | 6250883 | 1 | 02/27/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frederick Mark Atiyeh | 872352 | 4 | 02/22/2017 | Customer Dispute | Settled | $23,725.70 | $0.00 | See FINRA Report |
| Brian Joseph McPartlin | 1203523 | 2 | 02/22/2017 | Customer Dispute | Denied | $10,053.00 | $0.00 | See FINRA Report |
| Michael Robert Osgood | 5426196 | 1 | 02/20/2017 | Customer Dispute | Denied | $64,798.80 | $0.00 | See FINRA Report |
| Jack Wendell Griffith | 1446978 | 5 | 02/17/2017 | Customer Dispute | Settled | $4,265,640.00 | $0.00 | See FINRA Report |