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FINRA Broker Disclosures for LPL Financial LLC

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.

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Displaying 161-170 out of 5,466 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Christopher Louis Grano2937422311/17/2023Customer DisputePending$370,000.00$0.00See FINRA Report
Sidney Russell Schroader1100245111/17/2023Customer DisputeDenied$650.00$0.00See FINRA Report
Kevin Clinton Loyd4447419411/16/2023Customer DisputePending$17,500.00$0.00See FINRA Report
Joseph Michael Pitch1410880111/15/2023Customer DisputePending$1,500,000.00$0.00See FINRA Report
Kathryn Jo Hackney1548894211/14/2023Customer DisputeFinal$150,000.00$0.00See FINRA Report
Andy S Rampersaud4030919711/10/2023Customer DisputeSettled$499,000.00$0.00See FINRA Report
Joanna Ingberg Westcott1187278111/10/2023Customer DisputeSettled$0.00$0.00See FINRA Report
William Carl Westcott1007101311/10/2023Customer DisputeSettled$0.00$0.00See FINRA Report
Justin Bradford May5162373111/09/2023Customer DisputeSettled$395,000.00$0.00See FINRA Report
Edward Baroncini30433541111/08/2023Customer DisputeSettled$500,000.00$0.00See FINRA Report

5,466 Results

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