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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Edward Miller | 1026399 | 1 | 02/17/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Susan Beth Allen | 1000420 | 2 | 02/17/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Park Best | 3084280 | 4 | 02/16/2017 | Customer Dispute | Denied | $32,546.00 | $0.00 | See FINRA Report |
| Shawn R Gaustad | 5612594 | 1 | 02/15/2017 | Customer Dispute | Denied | $15,127.70 | $0.00 | See FINRA Report |
| David Jon Chwalek | 2159441 | 2 | 02/14/2017 | Customer Dispute | Settled | $469,000.00 | $0.00 | See FINRA Report |
| William George Fisher Connell | 2378217 | 1 | 02/14/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Edward O'Reilly | 353244 | 2 | 02/13/2017 | Customer Dispute | Settled | $20,363.50 | $0.00 | See FINRA Report |
| Joseph P Riccelli | 4635101 | 1 | 02/10/2017 | Customer Dispute | Denied | $18,305.60 | $0.00 | See FINRA Report |
| Katherine Preston | 6315544 | 1 | 02/10/2017 | Customer Dispute | Denied | $7,400.00 | $0.00 | See FINRA Report |
| Ronald Joseph Pompei | 1439110 | 1 | 02/10/2017 | Customer Dispute | Settled | $100,100.00 | $0.00 | See FINRA Report |