The Securities and Exchange Commission alleges that LPL didn’t adhere to an organized process for addressing restrictions on accounts that failed its customer identification program.

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 ...

LPL Financial, a financial services firm with several thousand employees in the Charlotte region, will pay $18 million for anti-money laundering violations, the Securities and Exchange Commission said ...

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

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

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

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

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.

LPL Financial, a financial services firm with several thousand employees in the Charlotte region, will pay $18 million for anti-money laundering violations, the Securities and Exchange Commission ...