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 |
|---|---|---|---|---|---|---|---|---|
| Michael Allen Chaffee | 1017449 | 5 | 10/30/2018 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| John Patrick Milo | 1824688 | 6 | 10/30/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Aileen Joy Yoshida | 2521919 | 1 | 10/26/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Kenneth Alepra | 2690140 | 4 | 10/26/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sean Yount Goldney | 5720086 | 1 | 10/25/2018 | Customer Dispute | Denied | $18,635.40 | $0.00 | See FINRA Report |
| Bryan Sintay | 6310161 | 1 | 10/24/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Frank Joseph Esposito | 2446746 | 4 | 10/23/2018 | Customer Dispute | Denied | $137,620.00 | $0.00 | See FINRA Report |
| Michael Lane Rosenberg | 1051221 | 8 | 10/19/2018 | Customer Dispute | Denied | $857,119.00 | $0.00 | See FINRA Report |
| Matthew Valle | 5441192 | 1 | 10/19/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley Scott Jenks | 2516509 | 1 | 10/18/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |