Two Wells Fargo-affiliated investment advisers and Merrill Lynch agreed to pay $60 million, while LPL Financial agreed to pay ...

According to the SEC, between May 2019 and December 2023, LPL Financial had multiple failures in how it operated its customer identification program, including a failure to timely close accounts ...

Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its anti-money laundering program did not properly vet customers and failed to close ...

In 2014, when LPL Financial CEO Mark Casady learned that ... The regulators required LPL to make major changes in its supervisory procedures. According to the regulator’s consent order ...

LPL Financial has agreed to pay an $18 million ... which occurred between May 2019 and December 2023, included failures in customer identification and oversight of high-risk accounts, according ...

According to the SEC, between May 2019 and December 2023, LPL Financial had multiple failures in how it operated its customer identification program, including a failure to timely close accounts ...