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 |
|---|---|---|---|---|---|---|---|---|
| Joanna Ingberg Westcott | 1187278 | 1 | 11/10/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Carl Westcott | 1007101 | 3 | 11/10/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Justin Bradford May | 5162373 | 1 | 11/09/2023 | Customer Dispute | Settled | $395,000.00 | $0.00 | See FINRA Report |
| Edward Baroncini | 3043354 | 11 | 11/08/2023 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Edward Baroncini | 3043354 | 11 | 11/06/2023 | Customer Dispute | Settled | $372,000.00 | $0.00 | See FINRA Report |
| Edward Baroncini | 3043354 | 11 | 11/06/2023 | Customer Dispute | Settled | $215,000.00 | $0.00 | See FINRA Report |
| Barry Luther Buchholz | 1583582 | 9 | 11/06/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Russell Albert Stola | 4125737 | 1 | 11/02/2023 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| Edward Baroncini | 3043354 | 11 | 11/02/2023 | Customer Dispute | Settled | $77,000.00 | $0.00 | See FINRA Report |
| Edward Baroncini | 3043354 | 11 | 11/02/2023 | Customer Dispute | Settled | $118,000.00 | $0.00 | See FINRA Report |