Tag: LPL Financial FINRA
FINRA Fines LPL Financial $2.75 Million
FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures According to the Financial Industry Regulatory Authority...
LPL to Pay $26 Million for Failure to Supervise
LPL Financial Settles Charges with State Regulators According to a press announcement, LPL Financial has agreed to pay up to $26 million to...
LPL Financial LLC Censured & Fined $375,000
FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial Industry Regulatory Authority on February 6, 2018, LPL...
Two Texas Retirees Reportedly Sue LPL Financial
Former clients of LPL Financial are fighting the firm and their broker, Jason N. Anderson in Beaumont, Texas. Plaintiffs Elijah Denson and...
LPL Financial Fined Millions For Widespread Supervisory Failures
The Financial Industry Regulatory Authority fined LPL Financial $10 million for what they deemed as “broad supervisory...
