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 |
|---|---|---|---|---|---|---|---|---|
| William Bernard Nourse | 1962824 | 4 | 05/16/2018 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Michael Charles Mondello | 3207826 | 3 | 05/12/2018 | Customer Dispute | Denied | $600.00 | $0.00 | See FINRA Report |
| Craig Evan Benjamin | 1951698 | 1 | 05/10/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Altin Tirana | 4837498 | 5 | 05/10/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael George Botwinick | 1057151 | 2 | 05/07/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony Behan | 2306399 | 1 | 04/18/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Lane Smith | 2924147 | 2 | 04/16/2018 | Customer Dispute | Denied | $33,051.00 | $0.00 | See FINRA Report |
| Rey Whitehorn | 3034822 | 2 | 04/16/2018 | Customer Dispute | Award / Judgment | $0.00 | $6,212.50 | See FINRA Report |
| Marcus Christian Decker | 5200728 | 2 | 04/13/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Ullmann | 5474380 | 1 | 04/13/2018 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |