Tag: LPL Financial sanctions
LPL Financial Sanctioned for Failure to Supervise
LPL Failed to Recognize Red Flags Related to Rep’s undisclosed business activities According to the Financial Industry Regulatory...
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...
LPL Financial Censured & Fined $1.1 Million
LPL Financial to pay $1.1 million According to reports today, the Massachusetts Securities Division has fined LPL Financial $1.1 million...
