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

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

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

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

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

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

When the Federal Reserve started raising its benchmark rates in 2022, banks kept paying very little on sweep accounts. That ...

Fifth Third Wealth Advisors LLC grew its position in shares of iShares MSCI EAFE Value ETF (BATS:EFV – Free Report) by 11.8% ...

Brokerage LPL Financial has agreed to pay $18 million to resolve allegations that it failed to close or restrict thousands of high-risk accounts because of lax anti-money-laundering procedures. Write ...

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

SeaCrest Wealth Management LLC raised its holdings in FT Vest Rising Dividend Achievers Target Income ETF (BATS:RDVI – Free Report) by 27.2% during the 4th quarter, according to the company in its ...

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 ...