SAN DIEGO, Jan. 22, 2025 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisors Brian J. McGill, II, CFP®, and Michael R. Hyser, CFP®, have joined LPL Financial’s broker ...

Fresno police motorcycle officer D. Verduzco issues a citation to a motorist who was stopped across a caution zone as a train traveled through Fresno at McKinley and Blackstone avenues Monday morning.

Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission (SEC) that its anti-money laundering (AML) program did not properly vet customers and ...

LPL also was among financial firms that warned investors in August of potential cash sweep issues. But the SEC’s penalty against the company found it violated AML compliance guidelines from at least ...

LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the Securities and Exchange Commission for violations of anti-money ...

SAN DIEGO, Jan. 15, 2025 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisors Larry Forlenza, CRPC®, and Carl Hanks, CRPC®, have joined LPL Financial’s broker-dealer ...

Broker-dealer LPL Financial LLC failed to comply with its own policies on cannabis-related money and foreign accounts, violating key anti-money laundering rules, the US Securities and Exchange ...

LPL Financial, a financial services firm with several thousand employees in the Charlotte region, will pay $18 million for anti-money laundering violations, the Securities and Exchange Commission ...