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 ...

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 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 ...

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.

will pay $18 million to settle charges by the Securities and Exchange Commission for violations of anti-money laundering policies. The charges announced Friday by the SEC say that LPL Financial ...