NBA Hall of Famer Fined by the SEC for Misleading Crypto Endorsements
February 21, 2023
SEC Proposes Significant Change to Adviser Custody Rule
February 16, 2023
FINRA Suspends and Fines Former LPL Rep for Falsifying Client Signatures
February 15, 2023
LPL Financial Launches Partial Book Sales Program
February 13, 2023
SEC Charges Former Investment Advisor with $200 Million Fraud
February 10, 2023
Convicted Ponzi Architect to Pay $24 Million to Settle SEC Charges
February 10, 2023
LPL Grows Advisor Count to 21,275 in 2022; Earning Per Share Up 85%
February 6, 2023
LPL Financial Acquires $40 Billion RIA Branch Office
February 3, 2023
SEC Bars Former Advisor for Fraud
February 3, 2023
Former UBS Rep is barred by FINRA and Sued for $17 Million
February 1, 2023
Former Ameriprise Advisor Joins LPL Financial
February 1, 2023
LPL Financial Expands with Two Teams of Financial Advisors
January 30, 2023
FINRA Fines Former LPL Broker for Impersonating a Client
January 26, 2023
FINRA Fines Broker-Dealer for Improper GPB Private Placement Sales
December 28, 2022
