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 |
|---|---|---|---|---|---|---|---|---|
| Albert Anthony Pometto | 4304309 | 2 | 07/18/2018 | Customer Dispute | Pending | $24,256.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Callahan | 5537433 | 1 | 06/27/2018 | Customer Dispute | Denied | $68,679.00 | $0.00 | See FINRA Report |
| Ryan Tharp Wittig | 3225763 | 1 | 06/17/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Louis Errico | 1495230 | 5 | 06/15/2018 | Customer Dispute | Denied | $450,000.00 | $0.00 | See FINRA Report |
| Steven Nelson Schrader | 2170990 | 2 | 06/06/2018 | Customer Dispute | Settled | $28,857.00 | $0.00 | See FINRA Report |
| William Jeffrey | 1468603 | 1 | 06/05/2018 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Anthony C Paino | 6760060 | 1 | 06/04/2018 | Customer Dispute | Denied | $8,120.77 | $0.00 | See FINRA Report |
| Steven Coert van Voorhees | 5116680 | 1 | 05/31/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jason Richard Karr | 4535371 | 1 | 05/17/2018 | Customer Dispute | Settled | $7,182.00 | $0.00 | See FINRA Report |
| Michael Glenn Chandler | 2696470 | 2 | 05/16/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |