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Tag: LPL Financial

LPL Financial

Blog, Current Investigations

April 25, 2018

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, Securities Fraud Articles

May 12, 2011

Most Profitable "Indie" Brokerage Firms

The Investment News recently announced the most profitable “indie” brokerage firms. They are as follows: Rank Firm Pre-tax earnings ?...

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Blog, Securities Fraud Articles

January 18, 2011

Top Independent Broker-Dealers According to Investment News

RANK Broker-dealer Total gross revenues 1 LPL Investment Holdings Inc. $2.8B • LPL Financial One Beacon St. Boston, MA 02108 joinlpl.com...

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Blog, Securities Fraud Articles

November 26, 2010

Largest Independent Broker-Dealers

According to the Investment News, the following are the largest independent broker-dealers (ranked by reps producing over $100,000): Click...

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