Tag: LPL Financial Holdings
Massachusetts Securities Division Fines LPL $1.1 Million over Unregistered Agents and...
The Massachusetts Securities Division has fined LPL Financial $1.1 million for failing to properly register agents in Massachusetts and timely file certain reportable events....
Texas Fines LPL Financial $450,000 for Selling Unregistered Securities
LPL Financial LLC, the nation’s largest independent broker-dealer, was fined $450,000 by the State of Texas and ordered to repurchase certain securities it sold...
LPL Fined $26 Million Over Sales of Unregistered Securities
LPL Financial LLC., the nation’s largest independent broker-dealer, will pay a settlement totaling $26 million over the sale of unregistered securities, stemming from an...
LPL Financial Schedules First Quarter 2018 Earnings Release and Conference Call
LPL Financial LLC, the nation’s largest independent broker-dealer, will report first quarter financial results after the market closes on May 3, 2018. The company...
