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 Neil Trotta | 449594 | 6 | 03/11/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Earl Stanlick | 2411358 | 8 | 03/08/2021 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Cole Conrad | 6123930 | 1 | 03/01/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Benjamin Blackham | 5006067 | 1 | 03/01/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Taylor Jerome Ripka | 5663828 | 1 | 02/19/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael James Parrinello | 2612291 | 1 | 02/15/2021 | Customer Dispute | Settled | $13,887.70 | $0.00 | See FINRA Report |
| Jeffrey Allen Falke | 2659800 | 1 | 02/12/2021 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Howard Kenneth Romero | 802634 | 2 | 02/10/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Anton Saganey | 1596351 | 2 | 02/08/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Patrick Chiaro | 4866429 | 2 | 02/05/2021 | Customer Dispute | Settled | $171,000.00 | $0.00 | See FINRA Report |