LPL Financial has been fined $150,000 by Finra over allegations that it failed to stop a registered representative from using client funds as part of a Ponzi scheme. The broker-dealer agreed to the ...

The Financial Industry Regulatory Authority Inc. closed the year with substantial, multimillion-dollar penalties against two prominent firms, LPL Financial and Interactive Brokers. On Dec. 27, LPL and ...

For nearly a year, two of the largest wealth management companies in the nation, LPL Financial and Ameriprise Financial, have been duking it out in court over financial advisor recruiting tactics. Now ...

SAN DIEGO, Oct. 31, 2025 (GLOBE NEWSWIRE) -- LPL Financial LLC, a leading wealth management firm, today announced a reduction in fees and a simplified pricing structure across its advisory platforms, ...

SAN DIEGO, Oct. 28, 2025 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that the partners of Edge Wealth Advisory Group have joined LPL Financial’s broker-dealer and Registered Investment ...

For nearly four years, LPL helped at least 30 former Ameriprise advisors use an internal system to upload information for thousands of their ex-clients before that practice was abandoned in early 2022 ...

LPL Financial plans to experiment with offering its business solutions services to advisors outside of LPL, said CEO Dan Arnold, on the firm’s fourth quarter 2020 earnings call. The firm’s business ...

Failing to maintain an adequate email archiving system cost LPL Financial LLC a $7.5 million fine and at least a $1.5 million compensation bill, but the problem is much more widespread within the ...

LPL Financial welcomes advisors Jared Black and Richard Brokaw to launch Wyoming Asset Advisors, managing approximately $400 million in assets. LPL Financial LLC has welcomed financial advisors Jared ...