The Securities and Exchange Commission alleges that LPL didn’t adhere to an organized process for addressing restrictions on ...
LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...
SEC charges describe multiple failures in customer identification programs and shortfalls related to high-risk accounts ...
The SEC detailed accusations against the broker-dealer firm, which has several thousand workers in the region.
As part of a flurry of moves in the last days of the Biden administration, the Securities and Exchange Commission announced ...
The case reflects the extent of industry efforts — and failures to enforce — guidelines such as customer identification programs.
LPL Financial Holdings has agreed to pay an $18 million fine and to improve its anti-money laundering program to settle charges from the U.S. securities watchdog.
LPL, without admitting or denying the findings, agreed to pay a penalty of $18 million and to a censure and cease-and-desist ...
The Securities and Exchange Commission announced charges against broker-dealer and investment adviser LPL Financial (LPLA) for multiple ...
LPL Financial (LPLA) might move higher on growing optimism about its earnings prospects, which is reflected by its upgrade to a Zacks Rank #2 (Buy).
LPL Financial (LPLA) announced that financial advisors Larry Forlenza and Carl Hanks have joined LPL Financial’s broker-dealer, RIA and ...