LPL failure to supervise
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VALIC Financial Advisors to pay $350,000 for Supervisory Failures, featured by top securities fraud attorneys, The White Law Group January 12, 2021

VALIC Financial Advisors to pay $350,000 for Supervisory Failures

VALIC Financial Advisors has agreed to Sanctions for Failure to Supervise VA

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FINRA Hits LPL Financial with $6M for Supervisory Failures, featured by top securities fraud attorneys, The White Law Group January 6, 2021

FINRA Hits LPL Financial with $6M for Supervisory Failures

LPL Financial has agreed to a censure and $6.5 million fine for several supervisory

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