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 |
|---|---|---|---|---|---|---|---|---|
| Duncan Gerard MacEachern | 1856591 | 2 | 04/10/2023 | Customer Dispute | Pending | $800,000.00 | $0.00 | See FINRA Report |
| Ryan William Hall | 5077163 | 1 | 04/10/2023 | Customer Dispute | Pending | $800,000.00 | $0.00 | See FINRA Report |
| David Allen Casparian | 1008091 | 2 | 04/07/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Paul Joseph Tramontozzi | 4709307 | 1 | 04/04/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Dale Dennie | 5638224 | 1 | 03/26/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Angelo Frank Anello | 2835091 | 4 | 03/21/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Timothy Lee Connor | 2222028 | 3 | 03/17/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark Calvin Gillelen | 1868626 | 7 | 03/17/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Peter Martin Evans | 1516196 | 2 | 03/16/2023 | Customer Dispute | Pending | $1,626,970.00 | $0.00 | See FINRA Report |
| Virginia Jamka | 4380828 | 4 | 03/10/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |