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 |
|---|---|---|---|---|---|---|---|---|
| Brian Scott Linde | 4376496 | 2 | 03/17/2021 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Joseph Neil Trotta | 449594 | 6 | 03/11/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Edward Faherty | 2258287 | 2 | 03/09/2021 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Robert Earl Stanlick | 2411358 | 8 | 03/08/2021 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Gregg Robert Manis | 2015153 | 1 | 03/03/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Cole Conrad | 6123930 | 1 | 03/01/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Benjamin Blackham | 5006067 | 1 | 03/01/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Taylor Jerome Ripka | 5663828 | 1 | 02/19/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Forest Haddorff | 1050869 | 3 | 02/19/2021 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Matthew J McCoy | 5704182 | 1 | 02/15/2021 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |