Massachusetts Securities Division Fines LPL $1.1 Million over Unregistered Agents and Late Filings

June 27, 2019

Former Cetera Team Returns to LPL

June 19, 2019

FINRA Bars Former LPL Rep

June 14, 2019

LPL Financial Adds Former Oppenheimer Advisor with $220 Million in Client Assets

June 13, 2019

LPL Recruits Former Waddell & Reed Team

June 10, 2019

Apollon Wealth Management Names Former LPL Exec as Chief Operating Officer

June 3, 2019

FINRA Bars Former Commonwealth Broker for Refusing to Provide Documents to Regulators

May 31, 2019

Former Ameriprise Advisor Goes Indie with LPL Firm

May 31, 2019

FINRA Bars Former LPL Broker for Refusing to Testify at Hearing

May 28, 2019

LPL Financial to Acquire Firm with $3 Billion in Client Assets

May 23, 2019

IFP Officially Launches Independent Broker-Dealer After Terminating LPL Contract

May 23, 2019

LPL Financial Recruits Fee-Only Advisor with $1.1 Billion in Client Assets

May 17, 2019

LPL Financial Recruits Credit Union from CUSO

May 7, 2019

LPL Financial Adds Former Morgan Stanley Advisor

April 26, 2019

FINRA Suspends Former High-Profile LPL Broker for Borrowing Money from Client

April 25, 2019

LPL Financial Hires EVP to Focus on Advisor Relationships

April 17, 2019

FINRA Suspends Former LPL Broker for Soliciting Investors for Unauthorized Variable Life Insurance Policy

April 15, 2019

Texas Fines LPL Financial $450,000 for Selling Unregistered Securities

April 12, 2019

LPL Adds Former Voya Team to Platform

April 12, 2019

Former Foresters Financial Hybrid Team Joins LPL Financial

April 5, 2019