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FINRA Bars Raymond James Compliance Associate for Doctoring Branch Audit Forms

The Financial Industry Regulatory Authority has barred a former Raymond James & Associates Inc. compliance associate for allegedly falsifying firm branch audit data to...

SEC Fines Audit Firm KPMG $50 Million for “Astounding” Misconduct

The Securities and Exchange Commission has charged audit firm KPMG LLP with altering past audit work after receiving stolen information about inspections of the...

LPL Fined $450K by Indiana Secretary of State

Indiana Secretary of State Connie Lawson has agreed to a settlement of $450,000 with LPL Financial LLC, the nation’s largest independent broker-dealer. The settlement...