FRANKFORT, Ky. — A man was sentenced for cyber crimes on Wednesday, according to a press release from the U.S. Attorney's ...

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

An investigation by the S.E.C. and several states found that the company had failed to notify investors of changes in the ...

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

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 ...

The SEC disclosed 7 actions against alleged misbehavior with only three days left for the Biden administration.

Scott J. Mason of Rubicon Wealth Management defrauded at least 13 advisory clients out of more than $20 million, spending it ...

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

The Securities and Exchange Commission alleges that LPL didn’t adhere to an organized process for addressing restrictions on ...

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

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

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