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 |
|---|---|---|---|---|---|---|---|---|
| Victor Paul Raigoza | 2454098 | 2 | 07/30/2024 | Customer Dispute | Pending | $45,000.00 | $0.00 | See FINRA Report |
| James Nesaraja Christopher | 5761273 | 2 | 07/26/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew John Vanek | 3270671 | 1 | 07/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian Scott Lesley | 3090243 | 2 | 07/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Anthony Steven Martinelli | 2590758 | 2 | 07/18/2024 | Customer Dispute | Pending | $3,000,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Hirthler | 1370229 | 1 | 07/18/2024 | Customer Dispute | Pending | $3,000,000.00 | $0.00 | See FINRA Report |
| Ronald John Gubelman | 4555501 | 3 | 07/15/2024 | Customer Dispute | Pending | $38,000.00 | $0.00 | See FINRA Report |
| Joseph Neil Trotta | 449594 | 6 | 07/10/2024 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Jason Keith Norton | 4776196 | 3 | 07/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jason Keith Norton | 4776196 | 3 | 07/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |