has announced charges against broker-dealer and investment adviser LPL Financial (NASDAQ:LPLA) LLC due to numerous failures ...

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 ...

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 ...

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. The Securities and Exchange ...

LPL Financial failed to follow its own anti-money laundering procedures for client identification across more than 12,000 accounts over nearly five years, according to the SEC. "Federal law ...

Washington, D.C.--(Newsfile Corp. - January 17, 2025) - The Securities and Exchange Commission today announced charges against broker-dealer and investment adviser LPL Financial LLC for multiple ...

LPL Financial settles SEC anti-money laundering charges for $18 million ...