Tag: LPL failure to supervise
VALIC Financial Advisors to pay $350,000 for Supervisory Failures
VALIC Financial Advisors has agreed to Sanctions for Failure to Supervise VA Exchanges The White Law Group is investigating potential...
FINRA Hits LPL Financial with $6M for Supervisory Failures
LPL Financial has agreed to a censure and $6.5 million fine for several supervisory and compliance failures The White Law Group is...