LPL Financial (LPLA) announced that financial advisors Brian McGill, II, and Michael Hyser, have joined LPL Financial’s broker-dealer, RIA and ...

The avalanche of cases announced Friday included charges against a no-longer registered advisor and firm accused of ...

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

A federal grand jury charged that his wife obtained business loans through fraud and they used the money for personal spending.

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 ...

Brokerage 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. Write ...

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

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

Scott J. Mason of Rubicon Wealth Management defrauded at least 13 advisory clients out of more than $20 million, spending it ...

An investigation by the S.E.C. and several states found that the company had failed to notify investors of changes in the ...

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