Tag: LPL Massachusetts securities complaint

September 6, 2013

$10.7 million in restitution to REIT investors

According to reports, five brokerage firms agreed to pay an additional $10.7 million in restitution to investors who purchased non-traded...

Blog, Securities Fraud Articles

January 28, 2013

LPL Beefing Up Compliance In Wake of Massachusetts Lawsuit

According to a report in the Investment News, LPL has told its 13,000 registered reps and investment advisers that it is cracking down on...

Blog, Securities Fraud Articles

December 12, 2012

LPL sued by Massachusetts securities regulators

According to reports, Massachusetts securities regulators have sued LPL Financial, LLC over sales practices of brokers regarding non-traded...

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