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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Gerard Byrne | 1901015 | 1 | 09/24/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Marty Gore Dennis | 3052556 | 1 | 08/16/2021 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Chad Braden Chance | 5360073 | 1 | 08/16/2021 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Kimberly Torres Lentz | 6367981 | 6 | 06/30/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Barbara Elizabeth Leonard | 4607044 | 1 | 06/04/2021 | Customer Dispute | Pending | $25,357.90 | $0.00 | See FINRA Report |
| David Mattos | 1986817 | 1 | 05/05/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregg Robert Manis | 2015153 | 1 | 03/03/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Byrne | 2606471 | 1 | 02/12/2021 | Customer Dispute | Pending | $140,000.00 | $0.00 | See FINRA Report |
| James Michael Frawley | 2867752 | 2 | 01/21/2021 | Customer Dispute | Pending | $64,372,000.00 | $0.00 | See FINRA Report |
| Linda Marie Rodriguez | 6997789 | 1 | 09/01/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |