January 6, 2021
LPL Financial has agreed to a censure and $6.5 million fine for several supervisory
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October 31, 2018
FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures
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May 3, 2018
LPL Financial Settles Charges with State Regulators According to a press
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April 25, 2018
FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial
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