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 |
|---|---|---|---|---|---|---|---|---|
| Andy S Rampersaud | 4030919 | 7 | 07/03/2023 | Customer Dispute | Settled | $499,000.00 | $0.00 | See FINRA Report |
| Brenton E Ditto | 4779103 | 1 | 06/20/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kristy H Nicol | 2778038 | 3 | 06/14/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Joseph Celentano Jr | 4070505 | 1 | 06/08/2023 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Jeffrey Richard Karp | 2466542 | 1 | 06/07/2023 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Matthew Scott Engelau | 5233851 | 1 | 06/05/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Baroncini | 3043354 | 11 | 05/12/2023 | Customer Dispute | Settled | $515,000.00 | $0.00 | See FINRA Report |
| Christopher Carl Cavallaro | 2125009 | 10 | 05/10/2023 | Customer Dispute | Settled | $167,000.00 | $0.00 | See FINRA Report |
| Michael Christopher McFeeley | 5505995 | 10 | 05/10/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Patrick Lee McIntyre | 2442966 | 1 | 04/24/2023 | Customer Dispute | Settled | $25,046.00 | $0.00 | See FINRA Report |