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 ...

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

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

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

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.

William Blair raised their Q4 2024 EPS estimates for LPL Financial in a report released on Monday, January 13th. William ...

LPL Financial (NASDAQ:LPLA – Get Free Report) had its price objective hoisted by equities research analysts at Barclays from ...

The firm believes the group has priced in continued growth from here and wants to “conti SAN DIEGO, Jan. 09, 2025 (GLOBE NEWSWIRE) -- LPL Financial Holdings Inc. (Nasdaq: LPLA) (the “Company ...

The company’s recruiting efforts, strategic acquisitions and solid advisor productivity are expected to keep supporting revenues. LPL Financial’s total revenues witnessed a compound annual ...

LPL Financial's solid operational metrics and bullish primary trend are noted, but shares appear fully priced. See why LPLA ...

LPLA shares hit a new all-time high. Can the newly elected government's stance and the company's growth efforts keep the momentum going? Let's find out.