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 |
|---|---|---|---|---|---|---|---|---|
| Christopher R Bice | 3222439 | 3 | 11/12/2018 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Salvatore Patrick Ventimiglia | 1030589 | 1 | 11/08/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rudra Devanand Persaud | 3031653 | 1 | 11/02/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Charles Champagne | 4169488 | 10 | 10/31/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Valle | 5441192 | 1 | 10/19/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Reginald Gray Hunnicutt | 1245147 | 1 | 09/18/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Kirk Mitchell Balin | 4590715 | 2 | 09/07/2018 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Jason Edward Gross | 5125679 | 1 | 09/04/2018 | Customer Dispute | Settled | $76,764.60 | $0.00 | See FINRA Report |
| Steven Mark Dalton | 1059214 | 4 | 08/10/2018 | Customer Dispute | Settled | $270,000.00 | $0.00 | See FINRA Report |
| Mark Joseph White | 4125742 | 1 | 08/07/2018 | Customer Dispute | Settled | $12,264.90 | $0.00 | See FINRA Report |