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Tag: LPL Financial investigation

Blog, Current Investigations

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...

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Blog, Current Investigations, Securities Fraud

LPL to Pay $26 Million for Failure to Supervise Unregistered Securities

LPL Financial Settles Charges with State Regulators According to a press announcement, LPL Financial has agreed to pay up to $26 million to...

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Blog, Current Investigations

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...

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Blog, Current Investigations, Securities Fraud

LPL Financial Fined $950,000 for Alternative Investment Sales

New Jersey Settlement alleges excessive amounts of alternative investments According to reports, the New Jersey Bureau of Securities...

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Blog, Current Investigations, Securities Fraud

SEC charges Former LPL Brokers

Former LPL Brokers allegedly targeted Federal Employees nearing retirement According to a press announcement Monday, the  Securities and...

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