The SEC detailed accusations against the broker-dealer firm, which has several thousand workers in the region.

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

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 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.

Top deals from Q4 include Wealth Enhancement Group's deal with Levy Wealth Management Group and Cetera's bid for Concourse ...

Larry Forlenza and Carl Hanks have aligned with fellow advisors of Morristown Wealth Management that joined LPL platform in October.

Mariner’s latest announcement of three acquisitions adds more than $1 billion. It’s hardly the only active dealmaker.

On Wednesday, the firm announced financial advisors Larry Forlenza and Carl Hanks, who previously oversaw nearly $430 million ...

Based in Morristown, N.J., Hanks and Forlenza have reunited with Morristown Wealth Management, which includes fellow advisors Don Giovanello and Gian Paolella, who joined LPL in October.

A lot of RIAs have been buying up retirement plan-focused firms as they make big pushes into that space. That’s not what ...

It specializes in working with clients in Oregon and Washington on investment management ... The firm currently has 141 offices throughout the country. Last month, LPL Financial revealed the ...