LPL to Pay $18 Million to Resolve Anti-Money-Laundering Allegations
The Securities and Exchange Commission alleges that LPL didn’t adhere to an organized process for addressing restrictions on ...
The Charlotte Observer on MSN13d
Charlotte area financial services firm to pay $18M to settle anti-money laundering charges
The SEC detailed accusations against the broker-dealer firm, which has several thousand workers in the region.
WealthManagement.com13d
LPL Financial Hit with Anti-Money Laundering Violations
As part of a flurry of moves in the last days of the Biden administration, the Securities and Exchange Commission announced ...
SEC charges La Jolla’s LPL Financial with anti-money laundering violations
LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...
Goldman Sachs maintains LPL Financial stock buy rating, $405 target
Goldman Sachs reaffirmed its Buy rating and $405.00 price target for LPL Financial Holdings (NASDAQ:LPLA), following the company's fourth-quarter earnings report. LPL Financial reported earnings per ...
Citi raises LPL Financial stock target to $415, maintains Buy rating
LPL Financial (NASDAQ:LPLA)'s recruiting trends have been robust throughout the quarter, with management indicating strong ...
San Diego Union-Tribune13d
SEC charges La Jolla’s LPL Financial with anti-money laundering violations
will pay $18 million to settle charges by the Securities and Exchange Commission for violations of anti-money laundering policies. The charges announced Friday by the SEC say that LPL Financial ...
LPL Financial to Pay $18M Fine for Anti-Money Laundering Failures
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.