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 |
|---|---|---|---|---|---|---|---|---|
| Charles George Salfity | 864756 | 1 | 11/16/2020 | Customer Dispute | Denied | $11,347.60 | $0.00 | See FINRA Report |
| Frank A Orlando | 4844280 | 2 | 11/16/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Keith Lyons | 5343894 | 1 | 11/13/2020 | Customer Dispute | Denied | $373,147.00 | $0.00 | See FINRA Report |
| Laurence Michael Wajsman | 2002744 | 2 | 11/12/2020 | Customer Dispute | Denied | $5,699.32 | $0.00 | See FINRA Report |
| Bradley Graham Barnett | 839777 | 2 | 11/10/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donovan Jay Ehrman | 2129782 | 1 | 11/03/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jack Anthony Biedebach | 5060280 | 1 | 10/30/2020 | Customer Dispute | Settled | $4,846.96 | $0.00 | See FINRA Report |
| George Ly | 4630985 | 2 | 10/28/2020 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Robert Wayne Bradley | 2153693 | 1 | 10/26/2020 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Andrew Ricardo Roybal | 2675889 | 4 | 10/23/2020 | Customer Dispute | Settled | $21,887.50 | $0.00 | See FINRA Report |