Tag: LPL Financial investigation
More Trouble for LPL Financial due to Nontraded REIT sales
LPL may have to refund $8 Million for sales of nontraded REITs According to Investment News, LPL Financial could end up refunding $8...
LPL Financial Fined Millions For Widespread Supervisory Failures
The Financial Industry Regulatory Authority fined LPL Financial $10 million for what they deemed as “broad supervisory...
LaeRoc Fund Investigation
LaeRoc Fund Investment Losses The White Law Group is investigating potential securities fraud claims against the broker-dealers that...
Investment Losses: Former LPL Rep Arthur Lin
According to SEC documents, Arthur Lin, a former LPL Financial registered representative has been accused of selling “…$5,360,000 in...
LPL Financial Fined for Failure to Supervise Jack Kleck
According to the investmentnews.com Oregon regulators in charge of securities have fined LPL Financial LLC $100,000 “for failing to...