LPL and Wintrust Financial Corporation signed an agreement in February 2024. On January 25, about $15 billion of brokerage and advisory assets were onboarded to LPL. The remaining $1 billion of assets ...

The wealth management business of the world's largest credit union and its 14 million members opted to choose its own ...

William “Bill” Bruen Jr. and his son Andrew join an existing LPL practice after spending more than a decade at UBS.

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

Read here for highlights on LG Display's gains in 2024. It ended the year soft with disappointing Q4, casting doubt on its ...

In our analysis, these 12 brokerage accounts stand out as the best choices for stock trading, due to their low fees, strong platforms and quality customer support. Many, or all, of the products ...

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

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

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

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

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