LPL Financial
Tag Archive

LPL Financial Lawsuit, Featured by Top Securities Fraud Attorneys, The White Law Group June 20, 2019

LPL Financial LLC | Lawsuit Filed Today

The White Law Group announces the filing of a FINRA Lawsuit against LPL Financial

Read article

Broker-Dealers refuse Ohio National agreements. Featured by Top Securities Fraud Attorneys, The White Law Group February 19, 2019

Broker-Dealers Refuse Ohio National Agreements

Cetera – NEXT Financial – Refuse Service Agreements with Ohio National According

Read article

LPL October 31, 2018

FINRA Fines LPL Financial $2.75 Million

FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures

Read article

National Planning July 26, 2018

FINRA Sanctions National Planning Firms for Failure to Supervise VA...

National Planning Corp., Investment Centers of America, SSII Investments, INVEST

Read article

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

Read article

LPL Financial April 25, 2018

LPL Financial LLC – Censured & Fined $375,000

FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial

Read article

May 12, 2011

Most Profitable "Indie" Brokerage Firms

The Investment News recently announced the most profitable “indie” brokerage

Read article

January 18, 2011

Top Independent Broker-Dealers According to Investment News

RANK Broker-dealer Total gross revenues 1 LPL Investment Holdings Inc. $2.8B • LPL

Read article

November 26, 2010

Largest Independent Broker-Dealers

According to the Investment News, the following are the top broker-dealers (ranked

Read article