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

Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...

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

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

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 ...

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

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

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 ...