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 |
|---|---|---|---|---|---|---|---|---|
| Robert Joseph Tornincaso | 1195100 | 1 | 06/28/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Andrew Raskin | 4701782 | 4 | 06/07/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jack Brent Godfrey | 2928652 | 3 | 06/01/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Vetea Jonathan Ribet | 4823379 | 1 | 05/25/2021 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Charles Frederick Gore II | 4683147 | 1 | 05/11/2021 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Mitchell Scott Bowles | 2580004 | 2 | 05/11/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott William Krizner | 1821660 | 1 | 04/30/2021 | Customer Dispute | Settled | $33,204.60 | $0.00 | See FINRA Report |
| Daniel William Sopher | 1254823 | 2 | 04/26/2021 | Customer Dispute | Settled | $73,000.00 | $0.00 | See FINRA Report |
| Christopher C Hathaway | 4395186 | 1 | 04/07/2021 | Customer Dispute | Settled | $8,501.00 | $0.00 | See FINRA Report |
| Andrew Melikidse | 2353534 | 3 | 04/01/2021 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |