The Securities and Exchange Commission (SEC) has announced charges against broker-dealer and investment adviser LPL Financial ...

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

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

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

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.

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.

Ameriprise and LPL Financial have agreed to bring in a third-party forensic company to help preserve evidence in a wide-ranging recruiting dispute while they await a resolution from a FINRA ...

Rival firms Ameriprise Financial and LPL ... of this information, and LPL's actions in connection therewith, will be decided by a panel of arbitrators in Finra's dispute resolution arbitral ...

LPL Financial LLC announced today that financial advisor Marcus S. Alexander, CPFA ®, MBA, has joined LPL’s employee advisor channel, Linsco by LPL Financial, to launch Alexander Wealth Solutions. He ...

SAN DIEGO, Jan. 09, 2025 (GLOBE NEWSWIRE) -- LPL Financial Holdings Inc. (Nasdaq: LPLA) (the “Company”), the parent corporation of LPL Financial LLC, announced today it will report fourth ...

LPL Financial LLC has announced that Prestige Wealth Group (PWG), led by partners Rich Galgano, CFP®, and Matt Geraci, CFP®, has joined its broker-dealer, RIA, and custodial platforms, bringing ...