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 |
|---|---|---|---|---|---|---|---|---|
| Cesar MacEdo | 4436182 | 1 | 09/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Johnny Alfonso Ceballos | 5330577 | 1 | 09/09/2020 | Customer Dispute | Settled | $284,942.00 | $0.00 | See FINRA Report |
| Andrew Donaghy Quinn | 2031281 | 2 | 08/27/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John Patrick Milo | 1824688 | 6 | 08/27/2020 | Customer Dispute | Denied | $9,171.35 | $0.00 | See FINRA Report |
| Peter Joseph Albano | 1040390 | 1 | 08/25/2020 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Douglas Kenneth Allen | 2765644 | 2 | 08/21/2020 | Customer Dispute | Denied | $128,629.00 | $0.00 | See FINRA Report |
| Glenn Philip Livingston | 4600606 | 1 | 08/19/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John E Pelletier | 4205289 | 2 | 08/19/2020 | Customer Dispute | Settled | $51,550.00 | $0.00 | See FINRA Report |
| Robert Scott Ginsberg | 5177531 | 4 | 08/19/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Emmet Lydon | 2726858 | 1 | 08/18/2020 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |