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

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.

Rival firms Ameriprise Financial and LPL Financial have settled their U.S. District Court litigation over advisor departures and client poaching, agreeing to hire a forensic examiner to look at ...

The broker-dealer giants are extending their respective networks in California and Alabama as they each welcome an ...

Prudential Financial (PRU) retail arm Prudential Advisors and LPL Financial Holdings (LPLA) finalized the launch of their strategic relationship, first announced in August 2023. Following the tran ...

says KBW stock analyst Kyle Voigt. He picked Schwab and LPL Financial as his two top retail brokerage picks for next year.

This, along with future rate cuts, will support LPL Financial’s advisory and brokerage assets, and transaction-based revenues. Also, higher profitability for the firms in general will lead to ...

SAN DIEGO, Dec. 19, 2024 (GLOBE NEWSWIRE) -- LPL Financial LLC, a leader in the wealth management industry, today announced updates to the firm’s financial technology, investment solutions and ...

I am downgrading LPL Financial from a Buy to a Hold due to falling EPS estimates and the stock being fairly priced. Despite strong Q3 results and significant asset growth, the FY 2026 consensus ...