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

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

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 ...

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

LPL Financial (LPLA) might move higher on growing optimism about its earnings prospects, which is reflected by its upgrade to a Zacks Rank #2 (Buy).

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.

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

The Securities and Exchange Commission announced charges against broker-dealer and investment adviser LPL Financial (LPLA) for multiple ...

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

LPL Financial (LPLA) announced that financial advisors Larry Forlenza and Carl Hanks have joined LPL Financial’s broker-dealer, RIA and ...