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Tag: LPL Financial sanctions

Blog, Securities Fraud Articles

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...

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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

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...

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