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 |
|---|---|---|---|---|---|---|---|---|
| Luke Daniel Russell | 5619316 | 1 | 02/15/2019 | Customer Dispute | Settled | $67,371.00 | $0.00 | See FINRA Report |
| Thomas A Brophy | 1606861 | 2 | 02/12/2019 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| James Edward Buchheit | 4724168 | 1 | 02/11/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Bryan Edward Davidson | 5445540 | 4 | 02/01/2019 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Christopher Carl Cavallaro | 2125009 | 10 | 01/22/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary Lee Meagher | 1308083 | 1 | 01/11/2019 | Customer Dispute | Settled | $58,500.00 | $0.00 | See FINRA Report |
| Jeffrey Harting McMahon | 3087632 | 1 | 01/09/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bryan Edward Davidson | 5445540 | 4 | 01/07/2019 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| John Mark Ross | 4396022 | 2 | 12/20/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Brett Sutherland | 1935857 | 2 | 12/07/2018 | Customer Dispute | Settled | $16,366.30 | $0.00 | See FINRA Report |