logo_web_wht
FREE CONSULTATION
(888) 637-5510

Tag: LPL investigation

LPL Financial Sanctioned for Failure to Supervise, featured by top securities fraud attorneys, the White Law Group.

Blog, Securities Fraud Articles

December 8, 2022

LPL Financial Sanctioned for Failure to Supervise 

LPL Failed to Recognize Red Flags Related to Rep’s undisclosed business activities  According to the Financial Industry Regulatory...

Read More →

Blog, Securities Fraud Articles

March 24, 2014

LPL Financial Pays $950,000 to FINRA

According to reports, the Financial Industry Regulatory Authority (FINRA) recently fined LPL Financial $950,000 for failure to adequately...

Read More →
Investment Losses?
Contact our National Securities Fraud Attorneys
GET A FREE CONSULTATION

Why Hire The White Law Group?

$50 M
Recovered for Investors
30 Years
of Securities Law Experience
700+
FINRA Arbitration Cases
50 States
Representing Investors
5-Star
AVVO Attorney Rating
Contingency Based Fees
logo_web_wht2
(312) 238-9650 | Fax (312) 238-8950 | (888) 637-5510 | 125 S. Wacker Drive, Suite 300, Chicago, Illinois 60606 The information you obtain at this site is not, nor is it intended to be, legal advice. You should consult an attorney for individual advice regarding your own situation. You may reproduce materials available at this site for your own personal use and for non-commercial distribution. All copies must include this copyright statement. © 2023 by The White Law Group, LLC All rights reserved.
PRIVACY POLICY

SITE MAP