The addition of Prudential Financial and Atria Wealth Solutions helped boost LPL's advisor headcount to a record of nearly 29 ...
LPL Financial handily beat Wall Street expectations with its fourth quarter report Thursday evening. The financial services ...
KuCoin's operator, PEKEN Global Limited, pleaded guilty to operating an unlicensed money-transmitting business and agreed to ...
Client cash balances as a percentage of total assets were 3.2%, up from 2.9% in the prior quarter and down from 3.6% a year ago Key Capital and Liquidity Results: Full Year 2024 Key Financial Results: ...
Last week, the Securities and Exchange Commission (SEC) announced two enforcement actions related to the failed ...
(AML) and countering the financing of terrorism (CFT) regulation shortcomings. In this article, we examine some of the ...
LPL Financial Holdings Inc. (NASDAQ:LPLA) has reached an all-time high, with its stock price soaring to $359.64, marking a significant milestone for the $26.9 billion market cap firm. According to ...
Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...
Two Wells Fargo-affiliated investment advisers and Merrill Lynch agreed to pay $60 million, while LPL Financial agreed to pay ...
SINGAPORE: A 45-year-old man linked to Singapore’s largest money laundering case was sentenced to 15 months' jail on Tuesday (Apr 30). Zhang Ruijin was also ordered to forfeit around S$118 ...
LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...
Brokerage 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. Write ...