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 |
|---|---|---|---|---|---|---|---|---|
| Vetea Jonathan Ribet | 4823379 | 1 | 05/25/2021 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Andrew Clark Blease | 1836019 | 2 | 05/24/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Kenneth Nichols | 347640 | 2 | 05/20/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Patrick Milo | 1824688 | 6 | 05/19/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Patrick Milo | 1824688 | 6 | 05/18/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Charles Frederick Gore II | 4683147 | 1 | 05/11/2021 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Mitchell Scott Bowles | 2580004 | 2 | 05/11/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Arthur Christopher | 2892530 | 2 | 05/04/2021 | Customer Dispute | Denied | $40,500.00 | $0.00 | See FINRA Report |
| Scott William Krizner | 1821660 | 1 | 04/30/2021 | Customer Dispute | Settled | $33,204.60 | $0.00 | See FINRA Report |
| Phillip Matthew Bell | 4675983 | 1 | 04/26/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |