LPL Grows Advisor Count to 21,275 in 2022; Earning Per Share Up 85%
February 6, 2023
LPL Financial Acquires $40 Billion RIA Branch Office
February 3, 2023
SEC Bars Former Advisor for Fraud
February 3, 2023
Former UBS Rep is barred by FINRA and Sued for $17 Million
February 1, 2023
Former Ameriprise Advisor Joins LPL Financial
February 1, 2023
LPL Financial Expands with Two Teams of Financial Advisors
January 30, 2023
FINRA Fines Former LPL Broker for Impersonating a Client
January 26, 2023
SEC Charges Broker for Defrauding Elderly Clients
January 25, 2023
Advisor Vows to Fight FINRA Charges of Inappropriate REIT Sales
January 9, 2023
FINRA Fines Broker-Dealer for Improper GPB Private Placement Sales
December 28, 2022
FINRA Bars Former LPL Rep
December 28, 2022
Advisor Group BDs Settle FINRA Charges Over Sales of GPB Offering
December 8, 2022
FINRA Announces Targeted Exam on Member’s Crypto Communications
November 16, 2022
FINRA Issues Member Alert Regarding ACATS Fraud
October 10, 2022