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 |
|---|---|---|---|---|---|---|---|---|
| George W Birdrow | 4501601 | 1 | 09/05/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Edward Gross | 5125679 | 1 | 09/04/2018 | Customer Dispute | Settled | $76,764.60 | $0.00 | See FINRA Report |
| Michael Anthony Goncalves | 3198048 | 3 | 08/23/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip Timothy Wieloch | 2819327 | 5 | 08/17/2018 | Customer Dispute | Denied | $310,000.00 | $0.00 | See FINRA Report |
| Steven Mark Dalton | 1059214 | 4 | 08/10/2018 | Customer Dispute | Settled | $270,000.00 | $0.00 | See FINRA Report |
| Mark Joseph White | 4125742 | 1 | 08/07/2018 | Customer Dispute | Settled | $12,264.90 | $0.00 | See FINRA Report |
| Nathan Rodgers | 4687084 | 1 | 07/31/2018 | Customer Dispute | Denied | $9,998.62 | $0.00 | See FINRA Report |
| Michael Tracy Pickett | 5919754 | 1 | 07/25/2018 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| Timothy Scott Swickard | 3270520 | 3 | 07/25/2018 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| William Paul Czaplewski | 2386057 | 2 | 07/23/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |