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

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 ...

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

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 ...

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

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.

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

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.

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

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