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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Scott Mason | 5174552 | 2 | 12/15/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Richard Robert Lepine | 1867250 | 1 | 12/15/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jason Tom Rossi | 4384426 | 3 | 12/15/2022 | Customer Dispute | Final | $203,007.00 | $0.00 | See FINRA Report |
| J Craig McIlroy | 1422508 | 4 | 12/09/2022 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Bryce Mitchell Williams | 7223173 | 1 | 12/06/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Charles Litwin | 3036642 | 1 | 12/01/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stacy Alden Cannon | 2372109 | 1 | 11/30/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Michael Dalton | 1381061 | 1 | 11/28/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Matthew Collins | 2426858 | 2 | 11/21/2022 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Jennifer Suzette Frick | 2626107 | 2 | 11/20/2022 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |