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 |
|---|---|---|---|---|---|---|---|---|
| Edward Baroncini | 3043354 | 11 | 06/20/2024 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Yan Sun | 5497831 | 1 | 06/13/2024 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Joseph Stossel | 1976055 | 1 | 05/17/2024 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Walter Steven Less | 5191948 | 1 | 05/13/2024 | Customer Dispute | Settled | $254,048.00 | $0.00 | See FINRA Report |
| John Prokos | 1553091 | 2 | 04/29/2024 | Customer Dispute | Settled | $52,000.00 | $0.00 | See FINRA Report |
| Teddy R Ezzell | 1527524 | 2 | 04/08/2024 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jonas Cash Everett | 2396343 | 1 | 03/01/2024 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Edward Baroncini | 3043354 | 11 | 02/28/2024 | Customer Dispute | Settled | $78,235.00 | $0.00 | See FINRA Report |
| Bartholomew Timothy-Dylan MacKler | 2571840 | 1 | 02/27/2024 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Ismael Eradio Reyes Retana | 3250007 | 3 | 02/27/2024 | Customer Dispute | Settled | $106,000.00 | $0.00 | See FINRA Report |