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Tag: LPL Financial lawsuit

Blog, Current Investigations

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...

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Blog, Securities Fraud

LPL Financial Lawsuit Alleges Unsuitable Alternative Investments

The White Law Group announces the filing of another FINRA Lawsuit against LPL Financial LLC The White Law Group announces filing of a FINRA...

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Securities Fraud

LPL Financial Lawsuit Alleges Investment Losses

LPL Financial Lawsuit The White Law Group announces the filing of a FINRA arbitration claim against LPL Financial involving high-risk...

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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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