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 |
|---|---|---|---|---|---|---|---|---|
| Kultar Singh Bindra | 6147537 | 3 | 02/16/2024 | Customer Dispute | Settled | $31,860.00 | $0.00 | See FINRA Report |
| Gregory Ellis Gann | 2144505 | 3 | 02/15/2024 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Rowena York Ruff | 2905624 | 1 | 02/08/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas A Cavaliere | 4435562 | 1 | 01/25/2024 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Michael Carl Lindemann | 5472990 | 1 | 01/17/2024 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Brandon Joseph Leblanc | 4758943 | 1 | 12/18/2023 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Edward Baroncini | 3043354 | 11 | 11/30/2023 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |
| Jeffrey Obermeyer Parker | 5163334 | 1 | 11/29/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Gary White | 5381460 | 1 | 11/29/2023 | Customer Dispute | Settled | $26,552.00 | $0.00 | See FINRA Report |
| Andy S Rampersaud | 4030919 | 7 | 11/10/2023 | Customer Dispute | Settled | $499,000.00 | $0.00 | See FINRA Report |