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 ...

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

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

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

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.

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

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