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 ...

Momentum investing revolves around the idea of following a stock's recent trend in either direction. In the 'long' context, investors will be essentially be "buying high, but hoping to sell even ...

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

FRANKFORT, Ky. — A man was sentenced for cyber crimes on Wednesday, according to a press release from the U.S. Attorney's ...

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.

The company is speeding up its change in top leadership, with Bharat Masrani leaving the post two months earlier than planned. Goldman Sachs Gives Solomon $80 Million to Stay Retention bonus and big ...

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.