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 |
|---|---|---|---|---|---|---|---|---|
| Michael James Parrinello | 2612291 | 1 | 02/15/2021 | Customer Dispute | Settled | $13,887.70 | $0.00 | See FINRA Report |
| Jeffrey Allen Falke | 2659800 | 1 | 02/12/2021 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Frederick Mark Atiyeh | 872352 | 4 | 02/11/2021 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Howard Kenneth Romero | 802634 | 2 | 02/10/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Anton Saganey | 1596351 | 2 | 02/08/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Patrick Chiaro | 4866429 | 2 | 02/05/2021 | Customer Dispute | Settled | $171,000.00 | $0.00 | See FINRA Report |
| John Thomas Jawor | 2687737 | 1 | 02/01/2021 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| Angelo Frank Anello | 2835091 | 4 | 02/01/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kotchi William Prosper | 4294982 | 1 | 01/29/2021 | Customer Dispute | Denied | $22,529.00 | $0.00 | See FINRA Report |
| James Michael Frawley | 2867752 | 2 | 01/21/2021 | Customer Dispute | Pending | $64,372,000.00 | $0.00 | See FINRA Report |