LPL, SEC and La Jolla

LPL to Pay $18 Million to Resolve Anti-Money-Laundering Allegations
The Securities and Exchange Commission alleges that LPL didn’t adhere to an organized process for addressing restrictions on accounts that failed its customer identification program.
SEC charges La Jolla’s LPL Financial with anti-money laundering violations
LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the Securities and Exchange Commission for violations of anti-money laundering policies.
LPL Financial settles SEC anti-money laundering charges for $18 million
The Securities and Exchange Commission (SEC) has announced charges against broker-dealer and investment adviser LPL Financial (NASDAQ:LPLA) LLC due to numerous failures in its anti-money laundering (AML) program.
Charlotte area financial services firm to pay $18M to settle anti-money laundering charges
The SEC detailed accusations against the broker-dealer firm, which has several thousand workers in the region.
LPL Financial to Pay $18M Fine for Anti-Money Laundering Failures
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.
LPL Financial Hit with Anti-Money Laundering Violations
As part of a flurry of moves in the last days of the Biden administration, the Securities and Exchange Commission announced charges against broker/dealer and investment advisor LPL Financial for multiple failures related to its anti-money laundering program.
LPL Financial to pay civil penalty of $18M to settle SEC charges
The Securities and Exchange Commission announced charges against broker-dealer and investment adviser LPL Financial (LPLA) for multiple
LPL to pay $18M settlement in 4th AML case over past 10 years
The case reflects the extent of industry efforts — and failures to enforce — guidelines such as customer identification programs.
InvestmentNews1d
LPL to pay $18M over AML program deficiencies
SEC charges describe multiple failures in customer identification programs and shortfalls related to high-risk accounts ...
This Women-Led $350 Million LPL Financial Team Uses Structured Products For Downside Protection
Data doesn’t lie—being a consistent investor will always work in your favor,” says SageMint Wealth’s Anh Tran.
William Blair Boosts Earnings Estimates for LPL Financial
William Blair raised their Q4 2024 EPS estimates for LPL Financial in a report released on Monday, January 13th. William ...
InvestmentNews3d
Ex-Raymond James, Merrill advisors depart for LPL
On Wednesday, the firm announced financial advisors Larry Forlenza and Carl Hanks, who previously oversaw nearly $430 million ...
LPL Welcomes Financial Advisors Larry Forlenza and Carl Hanks
Based in Morristown, N.J., Hanks and Forlenza have reunited with Morristown Wealth Management, which includes fellow advisors Don Giovanello and Gian Paolella, who joined LPL in October.
$1000 Invested In LPL Finl Hldgs 5 Years Ago Would Be Worth This Much Today
Buying $1000 In LPLA: If an investor had bought $1000 of LPLA stock 5 years ago, it would be worth $3,323.59 today based on a ...
Livingston readers opting for more digital checkouts
The Livingston Parish Library achieved a new milestone in 2024, reporting the system’s highest-ever number of eContent circulations in a single year.
Financial Advisor IQ1d
Elevation Point Takes Minority Stake in $750M RIA
Elevation Point announced that it has taken a minority stake in Northville, Michigan–based Stonebrook Private, a fee-only ...