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 |
|---|---|---|---|---|---|---|---|---|
| Ronald John Gubelman | 4555501 | 3 | 07/15/2024 | Customer Dispute | Pending | $38,000.00 | $0.00 | See FINRA Report |
| Joseph Neil Trotta | 449594 | 6 | 07/10/2024 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Jason Keith Norton | 4776196 | 3 | 07/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jason Keith Norton | 4776196 | 3 | 07/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Travis Matthew James | 4297837 | 1 | 06/18/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Ashley Armstrong Thompson | 5208583 | 1 | 06/18/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Shannon Dwain Moore | 2934682 | 2 | 06/12/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| David John Segarra | 4482059 | 3 | 06/03/2024 | Customer Dispute | Pending | $80,000.00 | $0.00 | See FINRA Report |
| Tyler Edward Schultz | 5762290 | 1 | 05/28/2024 | Customer Dispute | Pending | $46,862.60 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 12 | 05/24/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |