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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Joseph Donnelly | 2134964 | 1 | 09/05/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joe Mark Abbott | 4452950 | 1 | 09/04/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Rafael Andres Menier | 5987905 | 1 | 09/04/2019 | Customer Dispute | Denied | $24,743.00 | $0.00 | See FINRA Report |
| Patrick Jacob Boland | 5658792 | 1 | 08/30/2019 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| Richard Zakery Dearinger | 6442682 | 2 | 08/27/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marcus Christian Decker | 5200728 | 2 | 08/23/2019 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Christopher Derek Sweeney | 2085659 | 3 | 08/23/2019 | Customer Dispute | Denied | $34,267.50 | $0.00 | See FINRA Report |
| George Ly | 4630985 | 2 | 08/23/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Richard John Tidwell | 2728487 | 3 | 08/22/2019 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Gregory Bernard Mc Elheny | 4463707 | 1 | 08/14/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |