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

Park Avenue Securities LLC increased its position in shares of First Trust Low Duration Opportunities ETF (NASDAQ:LMBS – Free ...

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

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

The company is speeding up its change in top leadership, with Bharat Masrani leaving the post two months earlier than planned. Goldman Sachs Gives Solomon $80 Million to Stay Retention bonus and big ...

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

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

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

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

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.