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 |
|---|---|---|---|---|---|---|---|---|
| Senh Ly | 4538978 | 1 | 10/21/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Taylor Davis Roberts | 2643411 | 1 | 10/19/2022 | Customer Dispute | Denied | $11,046.10 | $0.00 | See FINRA Report |
| Joseph Martin Montgomery | 2537742 | 1 | 10/19/2022 | Customer Dispute | Denied | $11,046.10 | $0.00 | See FINRA Report |
| Barry Stuart Kemp | 2405285 | 2 | 10/13/2022 | Customer Dispute | Settled | $23,500.00 | $0.00 | See FINRA Report |
| Angel Fernando Lopez | 4203575 | 2 | 10/08/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Wesley Greg Alston | 3242920 | 4 | 09/29/2022 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Richard John Donatelli | 1652397 | 3 | 09/26/2022 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Gabriel Hugh Godbold | 4782681 | 1 | 09/20/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Frederick Fox | 1522234 | 3 | 09/20/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Khristopher John Brooks Andrews | 6242774 | 1 | 09/19/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |