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FINRA Bars Former LPL Broker for Refusing to Participate in Investigation

The Financial Industry Regulatory Authority has barred a former LPL Financial broker for refusing to provide documents and on-the-record testimony to the regulators following...

LPL Financial Recruits Former 1st Global Duo

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Parker Inabnet and Kate Redden of I.M. Wealth Care to its broker-dealer...

New Hampshire Freezes Assets of Former LPL Advisor Over Fake African...

The New Hampshire Bureau of Securities Regulation has recently obtained a preliminary injunction and asset freeze against former LPL Financial adviser Dain F. Stokes,...

LPL Financial Recruits $1 Billion Team from Advisor Group’s FSC Securities

LPL Financial LLC, the nation’s largest independent broker-dealer, has added 10 financial advisors with Financial Solutions Group to its broker-dealer and corporate registered investment...

SEC Charges Former LPL Broker with Defrauding Retail Investors in Ponzi...

The Securities and Exchange Commission has charged a former LPL Financial broker with operating a Ponzi scheme that defrauded more than three dozen retail...

LPL Recruits Former Ameriprise Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Mark Sudol, Gary Sudol, and Jeffery Lavin of The Sudol Group to...

LPL Adds Former Ameriprise Team with $150 Million in Client Assets

LPL Financial LLC, the nation’s largest independent broker-dealer, has added three former Ameriprise financial advisors to its broker-dealer and corporate registered investment advisor platforms. Carter...

LPL Recruits Former Wells Fargo Financial Advisor with $125 Million AUM

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Brian Gernant of Gernant Asset Management to its broker-dealer and corporate registered...

LPL Financial Recruits $700 Million Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Brian Kasteler, Joseph Taylor, Nathan Woodward, Jorge Becerra, Michael Donaldson and Patrick...

LPL Financial Recruits Former Ameriprise Hybrid

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Barry Rucks and Matt Silverhardt of Barry A. Rucks & Associates to...