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 |
|---|---|---|---|---|---|---|---|---|
| Jason Keith Norton | 4776196 | 3 | 08/12/2024 | Customer Dispute | Denied | $81,957.00 | $0.00 | See FINRA Report |
| Jeffrey Kercher Gantz | 2318683 | 1 | 07/31/2024 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Carolyn Pozzi | 1083038 | 3 | 06/12/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Hecht | 2910046 | 3 | 05/07/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alfonso Anguiano | 6244015 | 1 | 05/03/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Benjamin Nyquist | 4503469 | 1 | 04/29/2024 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Donald Francis Codori | 49451 | 1 | 04/17/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jason Andrew Netrosio | 2743225 | 2 | 04/17/2024 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Anthony Louis Petruccelli | 5699302 | 1 | 04/16/2024 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Jeffery Thomas Bonifacino | 1352076 | 2 | 04/16/2024 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |