The Securities and Exchange Commission alleges that LPL didn’t adhere to an organized process for addressing restrictions on ...

The Securities and Exchange Commission (SEC) has announced charges against broker-dealer and investment adviser LPL Financial ...

LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...

LPL Financial, a financial services firm with several thousand employees in the Charlotte region, will pay $18 million for anti-money laundering violations, the Securities and Exchange Commission said ...

the Securities and Exchange Commission announced charges against broker/dealer and investment advisor LPL Financial for multiple failures related to its anti-money laundering program. To resolve ...

Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...

The case reflects the extent of industry efforts — and failures to enforce — guidelines such as customer identification programs.

LPL Financial (NASDAQ:LPLA)'s recruiting trends have been robust throughout the quarter, with management indicating strong ...

LPL Financial Holdings has agreed to pay an $18 million fine and to improve its anti-money laundering program to settle charges from the U.S. securities watchdog. The Securities and Exchange ...

Last week, the Securities and Exchange Commission (SEC) announced two enforcement actions related to the failed ...

Two Wells Fargo-affiliated investment advisers and Merrill Lynch agreed to pay $60 million, while LPL Financial agreed to pay ...