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 |
|---|---|---|---|---|---|---|---|---|
| James Edward Anderson | 2369611 | 1 | 05/16/2024 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Walter Steven Less | 5191948 | 1 | 05/13/2024 | Customer Dispute | Settled | $254,048.00 | $0.00 | See FINRA Report |
| Michael Joseph Hecht | 2910046 | 3 | 05/07/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Christian Harvey Johnston | 2601094 | 4 | 05/06/2024 | Customer Dispute | Withdrawn | $225,000.00 | $0.00 | See FINRA Report |
| Angelo Frank Anello | 2835091 | 4 | 05/06/2024 | Customer Dispute | Pending | $84,538.00 | $0.00 | See FINRA Report |
| Tyson William Allred | 3081010 | 6 | 05/05/2024 | Customer Dispute | Pending | $1,529,600.00 | $0.00 | See FINRA Report |
| Alfonso Anguiano | 6244015 | 1 | 05/03/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michele Sharpe Schneider | 1484720 | 2 | 05/02/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John Spyro Demertzis | 2690132 | 4 | 05/02/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Nicholas Kearney Hamilton | 4502993 | 1 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |