Tag: LPL FINRA lawsuit
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...
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...
FINRA Fines LPL Financial LLC $950,000 for Supervisory Failures
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined LPL Financial LLC $950,000 for supervisory...