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 |
|---|---|---|---|---|---|---|---|---|
| John Louie Morrison | 1751511 | 3 | 12/29/2020 | Customer Dispute | Withdrawn | $230,000.00 | $0.00 | See FINRA Report |
| Michael William Haley | 1784225 | 1 | 12/29/2020 | Customer Dispute | Withdrawn | $230,000.00 | $0.00 | See FINRA Report |
| Patrick William Naughton | 2180840 | 2 | 12/23/2020 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Brian Joesph Gaffney | 1633401 | 2 | 12/23/2020 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Oscar Lee Harrison | 4174598 | 5 | 12/18/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cheryl Ann Brown | 1650399 | 3 | 12/15/2020 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Gary John Barney | 6548602 | 1 | 12/15/2020 | Customer Dispute | Denied | $11,488.50 | $0.00 | See FINRA Report |
| Mark Duane Hoover | 2223156 | 1 | 12/11/2020 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Robert Anthony Patti | 2918597 | 1 | 11/27/2020 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Alfred Joseph Amato | 4335456 | 1 | 11/20/2020 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |