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 |
---|---|---|---|---|---|---|---|---|
Christopher Louis Grano | 2937422 | 3 | 11/17/2023 | Customer Dispute | Pending | $370,000.00 | $0.00 | See FINRA Report |
Sidney Russell Schroader | 1100245 | 1 | 11/17/2023 | Customer Dispute | Denied | $650.00 | $0.00 | See FINRA Report |
Kevin Clinton Loyd | 4447419 | 4 | 11/16/2023 | Customer Dispute | Pending | $17,500.00 | $0.00 | See FINRA Report |
Joseph Michael Pitch | 1410880 | 1 | 11/15/2023 | Customer Dispute | Pending | $1,500,000.00 | $0.00 | See FINRA Report |
Kathryn Jo Hackney | 1548894 | 2 | 11/14/2023 | Customer Dispute | Final | $150,000.00 | $0.00 | See FINRA Report |
Andy S Rampersaud | 4030919 | 7 | 11/10/2023 | Customer Dispute | Settled | $499,000.00 | $0.00 | See FINRA Report |
Joanna Ingberg Westcott | 1187278 | 1 | 11/10/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
William Carl Westcott | 1007101 | 3 | 11/10/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Justin Bradford May | 5162373 | 1 | 11/09/2023 | Customer Dispute | Settled | $395,000.00 | $0.00 | See FINRA Report |
Edward Baroncini | 3043354 | 11 | 11/08/2023 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |