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 |
|---|---|---|---|---|---|---|---|---|
| Vincent Charles Meleco | 815306 | 8 | 09/24/2019 | Customer Dispute | Closed-No Action | $123,000.00 | $0.00 | See FINRA Report |
| Richard Lee Baker | 2731170 | 2 | 09/20/2019 | Customer Dispute | Closed-No Action | $240,000.00 | $0.00 | See FINRA Report |
| Steven Charles Champagne | 4169488 | 10 | 09/20/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jon Reece Thompson | 2555481 | 1 | 09/19/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Timothy R Steffen | 4434648 | 1 | 09/19/2019 | Customer Dispute | Settled | $23,333.70 | $0.00 | See FINRA Report |
| Ryan Reynolds Leblanc | 2631068 | 4 | 09/18/2019 | Customer Dispute | Denied | $25,897.20 | $0.00 | See FINRA Report |
| Shawn Michael Layton | 5893472 | 2 | 09/12/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Jason Buster | 2966622 | 1 | 09/11/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Aloysius Oflaherty | 2199447 | 2 | 09/08/2019 | Customer Dispute | Denied | $6,418.30 | $0.00 | See FINRA Report |
| Rusty Coyle | 4355534 | 2 | 09/05/2019 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |