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 Christopher McFeeley | 5505995 | 10 | 05/10/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Richard James Rodak | 1110132 | 1 | 05/09/2023 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| Raleigh James Galiano | 2254402 | 1 | 05/09/2023 | Customer Dispute | Final | $0.00 | $0.00 | See FINRA Report |
| Johnathan Richard Pulleyn | 5326395 | 1 | 05/08/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Joe Nielsen | 5481403 | 2 | 05/05/2023 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Randolph Miles Peters | 1472005 | 1 | 05/04/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Ronald Dewaine Davis | 2056276 | 1 | 04/24/2023 | Customer Dispute | Denied | $18,047.00 | $0.00 | See FINRA Report |
| Patrick Lee McIntyre | 2442966 | 1 | 04/24/2023 | Customer Dispute | Settled | $25,046.00 | $0.00 | See FINRA Report |
| Christopher Lee Clewell | 4801406 | 1 | 04/24/2023 | Customer Dispute | Denied | $18,047.00 | $0.00 | See FINRA Report |
| Kenneth Gene Baize | 5713738 | 1 | 04/13/2023 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |