LPL Financial handily beat Wall Street expectations with its fourth quarter report Thursday evening. The financial services ...
Client cash balances as a percentage of total assets were 3.2%, up from 2.9% in the prior quarter and down from 3.6% a year ago Key Capital and Liquidity Results: Full Year 2024 Key Financial Results: ...
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Charlotte area financial services firm to pay $18M to settle anti-money laundering chargesThe SEC detailed accusations against the broker-dealer firm, which has several thousand workers in the region.
Investors are suing LPL over low interest rates on cash sweep accounts. And in a completely separate matter, rival Ameriprise ...
Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...
In signs of how seriously LPL took the internal investigation that led to Bashaw’s dismissal, executives accessed the bank account records of one Bashaw client using financial institutions ...
According to the SEC, between May 2019 and December 2023, LPL Financial had multiple failures in how it operated its customer identification program, including a failure to timely close accounts ...
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