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 |
|---|---|---|---|---|---|---|---|---|
| Devin J Garofalo | 4853435 | 2 | 04/08/2024 | Customer Dispute | Denied | $216,806.00 | $0.00 | See FINRA Report |
| Richard John Donatelli | 1652397 | 3 | 04/02/2024 | Customer Dispute | Denied | $79,437.00 | $0.00 | See FINRA Report |
| Lori Jean Barry | 5771498 | 1 | 03/27/2024 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Richard John Tidwell | 2728487 | 3 | 03/27/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Mark Johnson | 2607639 | 1 | 03/26/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carlos Antonio Getino | 2156322 | 3 | 03/25/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kelly Ron Hubrig | 4636268 | 1 | 02/14/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Celia Mae Scott | 2870484 | 2 | 02/05/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Patrick Ford | 2246830 | 1 | 01/31/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Randall Wilson Harris | 1565851 | 1 | 01/25/2024 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |