LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...

The SEC detailed accusations against the broker-dealer firm, which has several thousand workers in the region.

LPL Financial Holdings has agreed to pay an $18 million fine and to improve its anti-money laundering program to settle charges from the U.S. securities watchdog.

As part of a flurry of moves in the last days of the Biden administration, the Securities and Exchange Commission announced ...

The Securities and Exchange Commission (SEC) has announced charges against broker-dealer and investment adviser LPL Financial ...

SEC charges describe multiple failures in customer identification programs and shortfalls related to high-risk accounts ...

The Securities and Exchange Commission announced charges against broker-dealer and investment adviser LPL Financial (LPLA) for multiple ...

The case reflects the extent of industry efforts — and failures to enforce — guidelines such as customer identification programs.

LPL, without admitting or denying the findings, agreed to pay a penalty of $18 million and to a censure and cease-and-desist ...

The company is speeding up its change in top leadership, with Bharat Masrani leaving the post two months earlier than planned. Goldman Sachs Gives Solomon $80 Million to Stay Retention bonus and big ...