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 |
|---|---|---|---|---|---|---|---|---|
| Julie Marie Weik | 1931148 | 1 | 11/03/2022 | Customer Dispute | Pending | $16,000.00 | $0.00 | See FINRA Report |
| Janelle O'Brien | 6159970 | 1 | 10/26/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Joseph Martin Montgomery | 2537742 | 1 | 10/19/2022 | Customer Dispute | Pending | $11,046.10 | $0.00 | See FINRA Report |
| Taylor Davis Roberts | 2643411 | 1 | 10/19/2022 | Customer Dispute | Pending | $11,046.10 | $0.00 | See FINRA Report |
| Richard John Donatelli | 1652397 | 2 | 09/26/2022 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| William Frederick Fox | 1522234 | 3 | 09/20/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Edward Jones | 2262799 | 3 | 09/15/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Adam Eisler | 2503507 | 5 | 09/08/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregory Alan Sheehan | 3185230 | 1 | 09/07/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Daintry Noelle Price | 1692616 | 2 | 08/30/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |