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

LPL Financial (NASDAQ:LPLA)'s recruiting trends have been robust throughout the quarter, with management indicating strong ...

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

LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...

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

Two Wells Fargo-affiliated investment advisers and Merrill Lynch agreed to pay $60 million, while LPL Financial agreed to pay ...

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

Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...

Last week, the Securities and Exchange Commission (SEC) announced two enforcement actions related to the failed ...

LPL, without admitting or denying the findings, agreed to pay a penalty of $18 million and to a censure and cease-and-desist ...

LPL Financial has agreed to pay $18 million to resolve allegations that it failed to close or restrict thousands of high-risk accounts because of lax anti-money-laundering procedures.

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 ...