LPL to Pay $18 Million to Resolve Anti-Money-Laundering Allegations
The Securities and Exchange Commission alleges that LPL didn’t adhere to an organized process for addressing restrictions on ...
Compliance Week9d
SEC fines LPL Financial $18M for failed due diligence on new, high-risk accounts
Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...