Tag: LPL managed futures
FINRA Fines LPL Financial LLC $950,000 for Supervisory Failures
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined LPL Financial LLC $950,000 for supervisory...
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...