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 |
|---|---|---|---|---|---|---|---|---|
| Paul Joseph Celentano Jr | 4070505 | 1 | 06/08/2023 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Jeffrey Richard Karp | 2466542 | 1 | 06/07/2023 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Matthew Scott Engelau | 5233851 | 1 | 06/05/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tyson William Allred | 3081010 | 6 | 06/05/2023 | Customer Dispute | Denied | $42,409.20 | $0.00 | See FINRA Report |
| Stacy Wade Spearman | 3158108 | 1 | 06/02/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Claiborne Brunot Lagrone | 3030520 | 1 | 05/30/2023 | Customer Dispute | Denied | $31,202.10 | $0.00 | See FINRA Report |
| Richard Joseph Tartarini | 2193158 | 1 | 05/26/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Timothy Wright | 2995487 | 1 | 05/19/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward Baroncini | 3043354 | 11 | 05/12/2023 | Customer Dispute | Settled | $515,000.00 | $0.00 | See FINRA Report |
| Christopher Carl Cavallaro | 2125009 | 10 | 05/10/2023 | Customer Dispute | Settled | $167,000.00 | $0.00 | See FINRA Report |