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 |
|---|---|---|---|---|---|---|---|---|
| Barry Luther Buchholz | 1583582 | 9 | 11/02/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Karry Jean MacIak | 4332863 | 3 | 10/23/2023 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| David Brent Robinson | 5776404 | 1 | 10/11/2023 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Edward Baroncini | 3043354 | 11 | 10/11/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mark Steven Bordelove | 4271924 | 1 | 10/03/2023 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Bryan Scott Foster | 2702281 | 2 | 10/03/2023 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Neil Robert Kitchie | 1429945 | 1 | 09/27/2023 | Customer Dispute | Settled | $50,001.00 | $0.00 | See FINRA Report |
| Douglas Robert Coleman | 859419 | 1 | 09/22/2023 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Steven Joseph Sabo | 1711708 | 1 | 09/22/2023 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Gina G Francisco | 4490144 | 3 | 09/22/2023 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |