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Tag: LPL managed futures

Blog, Securities Fraud

May 30, 2014

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...

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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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