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 |
|---|---|---|---|---|---|---|---|---|
| Angel Fernando Lopez | 4203575 | 2 | 10/08/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Gabriel Hugh Godbold | 4782681 | 1 | 09/20/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Khristopher John Brooks Andrews | 6242774 | 1 | 09/19/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Timothy O'Gwin | 4940059 | 1 | 09/14/2022 | Customer Dispute | Denied | $125,000,000.00 | $0.00 | See FINRA Report |
| Craig Lynn Miller | 1024569 | 1 | 09/12/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Allen Chaffee | 1017449 | 5 | 08/29/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Benjamin Julio Lecroy | 2666961 | 2 | 08/26/2022 | Customer Dispute | Denied | $72,073.20 | $0.00 | See FINRA Report |
| Margaret Joan Collins | 4007444 | 1 | 08/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Robert Rose | 4332792 | 1 | 08/19/2022 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Stephen Thomas Kerutis | 2345517 | 4 | 08/15/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |