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

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 ...

As part of a flurry of moves in the last days of the Biden administration, the Securities and Exchange Commission announced ...

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

SEC charges describe multiple failures in customer identification programs and shortfalls related to high-risk accounts ...

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

LPL, without admitting or denying the findings, agreed to pay a penalty of $18 million and to a censure and cease-and-desist ...

LPL Financial Holdings Inc., together with its subsidiaries, provides an integrated platform of brokerage and investment advisory services to independent financial advisors and financial advisors ...

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

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.

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

LPL Financial (LPLA) announced that father and son financial advisors Bart Lewellyn and Alex Lewellyn have joined LPL Financial’s broker-dealer, RIA and custodial platforms. They reported ...