LPL, the largest independent U.S. broker-dealer by gross revenue and advisor head count, has agreed to pay $4.8 million to settle charges by the SEC that it failed to vet an investment advisor ...
Last week, the SEC wrapped up a 2020 fraud case that left LPL Financial LLC on the hook for $4.1 million in restitution and a $750,000 fine when its customer identification program failed to catch an ...
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