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

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.

LPL Financial has agreed to pay an $18 million civil penalty for the SEC described as significant shortcomings in the firm's anti-money laundering program. The reported violations, which occurred ...

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 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 ...

The Securities and Exchange Commission today announced charges against broker-dealer and investment adviser LPL Financial LLC for multiple failures related to its anti-money laundering (AML ...

SAN DIEGO (CN) — Independent broker-dealer LPL Financial argued Wednesday that its customers can't claim the company unjustly enriched itself by automatically taking uninvested money in their accounts ...

March 31 (Reuters) - Wealth management firm LPL Financial Holdings (LPLA.O), opens new tab said on Monday it would acquire the privately held investment adviser Commonwealth Financial Network for ...

Arnold as chief executive for allegedly violating the money-manager’s respectful-workplace rules. LPL Financial’s LPLA Chairman James Putnam said Arnold “failed to meet” the company’s co ...

MAPsignals data shows how Big Money investors are betting heavily ... But there’s a powerful fundamental story happening with LPL Financial. Also, EPS is estimated to ramp higher this year ...