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 |
|---|---|---|---|---|---|---|---|---|
| Edward Baroncini | 3043354 | 11 | 09/13/2023 | Customer Dispute | Settled | $270,000.00 | $0.00 | See FINRA Report |
| Kultar Singh Bindra | 6147537 | 3 | 08/31/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerome Samuel Aron | 5213998 | 1 | 08/28/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Evan Lunsford | 5756621 | 3 | 08/18/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Spyro Demertzis | 2690132 | 4 | 07/26/2023 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Robert Duncan Aikins | 5602971 | 1 | 07/20/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Carl Cavallaro | 2125009 | 10 | 07/18/2023 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Kirk Mitchell Balin | 4590715 | 2 | 07/13/2023 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Daniel Carl Davis | 1846079 | 2 | 07/12/2023 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Michael Christopher McFeeley | 5505995 | 10 | 07/11/2023 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |