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 |
|---|---|---|---|---|---|---|---|---|
| James Howard Froman | 2364253 | 1 | 12/17/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew S Brown | 2031250 | 1 | 12/13/2019 | Customer Dispute | Denied | $9,275.00 | $0.00 | See FINRA Report |
| Daniel Alling Bullard | 34973 | 1 | 12/10/2019 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Nina Jo Hajjar | 5328724 | 2 | 12/07/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Teresa K McAlpine | 6124665 | 1 | 12/06/2019 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| William O Baumberger | 4121843 | 2 | 12/05/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Justin Rowe Byrd | 6296541 | 1 | 12/05/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cole Aaron Milbrath | 6635385 | 1 | 12/04/2019 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| William Frederick Fox | 1522234 | 3 | 11/25/2019 | Customer Dispute | Settled | $5,000.01 | $0.00 | See FINRA Report |
| Mark Allan Fitzpatrick | 1743439 | 1 | 11/25/2019 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |