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 |
|---|---|---|---|---|---|---|---|---|
| Roy Andrew Moen | 1022088 | 2 | 09/26/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Tiderencel | 2682983 | 4 | 09/21/2017 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Brent Alan Markley | 1399374 | 3 | 09/21/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ira Gary Chernick | 1435326 | 3 | 09/18/2017 | Customer Dispute | Settled | $35,500.00 | $0.00 | See FINRA Report |
| Alexandra Marquez | 5320953 | 2 | 09/14/2017 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Tom Aguilera | 4212310 | 1 | 09/13/2017 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Randolph Craig Byrd | 1110231 | 4 | 09/13/2017 | Customer Dispute | Settled | $16,914.00 | $0.00 | See FINRA Report |
| Phillip Peter Parziale | 3022790 | 2 | 09/12/2017 | Customer Dispute | Settled | $110,600.00 | $0.00 | See FINRA Report |
| Christopher Lee Jones | 2887985 | 2 | 09/06/2017 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| John Patrick Davitt | 4774803 | 3 | 09/05/2017 | Customer Dispute | Denied | $5,550.00 | $0.00 | See FINRA Report |