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 |
|---|---|---|---|---|---|---|---|---|
| John Thomas Jawor | 2687737 | 1 | 02/01/2021 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| Angelo Frank Anello | 2835091 | 4 | 02/01/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jay Gordon Panzer | 4176745 | 2 | 01/20/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Foster Huisinga | 4499347 | 2 | 01/20/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Roy Jonathan Nazaroff | 3164424 | 1 | 01/19/2021 | Customer Dispute | Settled | $32,000.00 | $0.00 | See FINRA Report |
| Geoffrey Brown | 1963751 | 1 | 01/12/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Johnny Kenard Rutledge | 5507113 | 2 | 01/11/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Albert Dean | 2759263 | 2 | 01/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick William Naughton | 2180840 | 2 | 12/23/2020 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Brian Joesph Gaffney | 1633401 | 2 | 12/23/2020 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |