LPL Financial investigation
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LPL October 31, 2018

FINRA Fines LPL Financial $2.75 Million

FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures

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LPL May 3, 2018

LPL to Pay $26 Million for Failure to Supervise Unregistered...

LPL Financial Settles Charges with State Regulators According to a press

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LPL Financial April 25, 2018

LPL Financial LLC – Censured & Fined $375,000

FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial

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LPL Financial October 31, 2017

LPL Financial Fined $950,000 for Alternative Investment Sales

New Jersey Settlement alleges excessive amounts of alternative investments According

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LPL brokers August 1, 2017

SEC charges Former LPL Brokers

Former LPL Brokers allegedly targeted Federal Employees nearing retirement According

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LPL Financial May 23, 2017

Two Texas Retirees Reportedly Sue LPL Financial and Former Broker...

Former clients of LPL Financial are fighting the firm and their broker, Jason N.

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LPL Financial May 4, 2017

More Trouble for LPL Financial due to Nontraded REIT sales

LPL may have to refund $8 Million for sales of nontraded REITs According to

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GWG Holdings Inc. Losses, Featured by Top Securities Fraud Securities Attorneys, The White Law Group February 9, 2017

LaeRoc Income Fund 007 LP Investment Losses

Concerned about investment losses with LaeRoc Income Fund 007 LP? Have you suffered

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May 6, 2015

LPL Financial Fined Millions For Widespread Supervisory Failures

The Financial Industry Regulatory Authority fined LPL Financial $10 million for what

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GWG Holdings Inc. Losses, Featured by Top Securities Fraud Securities Attorneys, The White Law Group February 27, 2013

LaeRoc Fund Investigation

LaeRoc Fund Investment Losses The White Law Group is investigating potential

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