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

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

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

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 ...

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

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

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

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.