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 |
|---|---|---|---|---|---|---|---|---|
| Cheryl Ann Brown | 1650399 | 3 | 12/15/2020 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Mark Duane Hoover | 2223156 | 1 | 12/11/2020 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Robert Anthony Patti | 2918597 | 1 | 11/27/2020 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Alfred Joseph Amato | 4335456 | 1 | 11/20/2020 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |
| Bradley Graham Barnett | 839777 | 2 | 11/10/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jack Anthony Biedebach | 5060280 | 1 | 10/30/2020 | Customer Dispute | Settled | $4,846.96 | $0.00 | See FINRA Report |
| George Ly | 4630985 | 2 | 10/28/2020 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Robert Wayne Bradley | 2153693 | 1 | 10/26/2020 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Andrew Ricardo Roybal | 2675889 | 4 | 10/23/2020 | Customer Dispute | Settled | $21,887.50 | $0.00 | See FINRA Report |
| Kimberly Ann Kennedy | 1487140 | 2 | 10/22/2020 | Customer Dispute | Settled | $235,000.00 | $0.00 | See FINRA Report |