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 |
|---|---|---|---|---|---|---|---|---|
| Charles Joseph Larocca | 1519529 | 1 | 02/05/2019 | Customer Dispute | Denied | $13,340.40 | $0.00 | See FINRA Report |
| Joseph Edward Aiello | 1624046 | 1 | 02/05/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bryan Edward Davidson | 5445540 | 4 | 02/01/2019 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Christopher Derek Sweeney | 2085659 | 3 | 01/29/2019 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| Jordan John Boyle | 5197202 | 2 | 01/23/2019 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Christopher Carl Cavallaro | 2125009 | 10 | 01/22/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brad Frederick Fortier | 3006495 | 2 | 01/22/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony New | 3011733 | 8 | 01/15/2019 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Adam G Lewis | 2181634 | 1 | 01/14/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patricia Ann Wilder | 4742339 | 1 | 01/11/2019 | Customer Dispute | Denied | $7,462.98 | $0.00 | See FINRA Report |