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.
Compliance Week13d
SEC fines LPL Financial $18M for failed due diligence on new, high-risk accounts
Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...
U.S. News & World Report5mon
LPL Financial LLC
The firm allows clients to supervise their accounts and access account statements online. LPL Financial has main offices in San Diego, Boston and Fort Mill, South Carolina. Registered in AK ...