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 |
|---|---|---|---|---|---|---|---|---|
| Michael Joseph Kelley | 1021878 | 2 | 08/18/2023 | Customer Dispute | Pending | $2,000,000.00 | $0.00 | See FINRA Report |
| Vincent Robert Gallagher | 844534 | 6 | 08/07/2023 | Customer Dispute | Denied | $29,000.00 | $0.00 | See FINRA Report |
| Phil Martin Andrews | 5470357 | 1 | 08/03/2023 | Customer Dispute | Pending | $43,000.00 | $0.00 | See FINRA Report |
| David Paul Yahnian | 1496815 | 1 | 08/03/2023 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Daniel Seth Steele | 5697477 | 1 | 07/31/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William Lloyd Addison | 6152328 | 1 | 07/27/2023 | Customer Dispute | Denied | $700,000.00 | $0.00 | See FINRA Report |
| John Spyro Demertzis | 2690132 | 4 | 07/26/2023 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Robert Sterling Madden | 1597397 | 2 | 07/25/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Duncan Aikins | 5602971 | 1 | 07/20/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Carl Cavallaro | 2125009 | 10 | 07/18/2023 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |