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 ...

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

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

LPL Financial, a financial services firm with several thousand employees in the Charlotte region, will pay $18 million for ...

SEC charges describe multiple failures in customer identification programs and shortfalls related to high-risk accounts ...

JMP Securities maintained a bullish stance on LPL Financial Holdings (NASDAQ:LPLA), reiterating a Market Outperform rating and a price target of $435.00. The stock, currently trading near its 52-week ...

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

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

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.

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