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 |
|---|---|---|---|---|---|---|---|---|
| Ricky Dewight Whitmire | 5121672 | 2 | 04/01/2024 | Customer Dispute | Pending | $22,000.00 | $0.00 | See FINRA Report |
| Daniel Robert Catone | 4469467 | 1 | 03/29/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Lori Jean Barry | 5771498 | 1 | 03/27/2024 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Richard John Tidwell | 2728487 | 3 | 03/27/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Mark Johnson | 2607639 | 1 | 03/26/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carlos Antonio Getino | 2156322 | 3 | 03/25/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Michael Fraser | 4868026 | 1 | 03/25/2024 | Customer Dispute | Pending | $2,000,000.00 | $0.00 | See FINRA Report |
| Patrick Dean Louise | 5810428 | 1 | 03/25/2024 | Customer Dispute | Pending | $2,000,000.00 | $0.00 | See FINRA Report |
| Donald Paul Aulbert | 4119911 | 1 | 03/19/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Drew Lynch | 2142722 | 1 | 03/19/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |