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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Cantanucci | 4069430 | 1 | 07/26/2017 | Customer Dispute | Denied | $609,833.00 | $0.00 | See FINRA Report |
| Benjamin C Lingenfelter | 3220009 | 3 | 07/24/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bryan Marc Gravel | 5634671 | 2 | 07/17/2017 | Customer Dispute | Denied | $6,869.70 | $0.00 | See FINRA Report |
| Gary Alan Rosenstone | 4660262 | 1 | 07/10/2017 | Customer Dispute | Settled | $84,208.80 | $0.00 | See FINRA Report |
| Ilia Michael Dalea | 2824306 | 1 | 07/05/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Clarence Deyoung | 863849 | 3 | 06/07/2017 | Customer Dispute | Award / Judgment | $650,000.00 | $750,000.00 | See FINRA Report |
| Wade T Cardon | 1465222 | 3 | 06/02/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Jay Lewis | 1778039 | 2 | 06/01/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Weaks Brennan | 4144935 | 2 | 06/01/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vladislav Michael Romanov | 2549093 | 2 | 05/30/2017 | Customer Dispute | Settled | $24,888.50 | $0.00 | See FINRA Report |