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Tag: LPL investigation

LPL Financial Sanctioned for Failure to Supervise, featured by top securities fraud attorneys, the White Law Group.

Blog, Securities Fraud

December 8, 2022

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, Securities Fraud

March 24, 2014

LPL Financial Pays $950,000 to FINRA

According to reports, the Financial Industry Regulatory Authority (FINRA) recently fined LPL Financial $950,000 for failure to adequately...

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