LPL failed to follow its own anti-money-laundering procedures when it opened a customer account and processed wire transfers for Eugenio Garcia Jimenez, Jr., an unregistered investment advisor who ...

LPL Financial is suing Ameriprise for alleged defamation, accusing the firm of sending "data breach" notices to thousands of LPL customers that falsely claimed their personal information was ...

Your article was successfully shared with the contacts you provided. LPL Financial (LPLA) said Wednesday that it would cut prices and account minimums and roll out a fund-only brokerage IRA option to ...

There is a new twist in the multifaceted legal war between wealth management companies LPL Financial and Ameriprise. LPL this week sued its rival for allegedly sending misleading data breach notices ...

CHARLOTTE, N.C., Dec. 02, 2019 (GLOBE NEWSWIRE) -- LPL Financial LLC, a leading retail investment advisory firm and independent broker-dealer, today announced the launch of a new account opening tool ...

From nine minutes to four, that is how long LPL’s new account opening process is expected to take on average, according to the firm. LPL’s New Account Opening 2.0, a component of its ClientWorks suite ...

Such data breach notices are among the most sensitive communications firms can have with clients, as customers are deathly afraid of losing control of their accounts to outside compute hackers.

The court order came after LPL agreed to drop its lawsuit that sought a temporary restraining order against its competitor last Thursday, according to a court filing. But that doesn’t mean the ...

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 ...

A FINRA arbitration panel recently awarded an 82-year-old Florida resident and her daughter treble damages, ruling LPL Financial and its broker failed to adequately explain the tax consequences on an ...

CHARLOTTE, N.C., March 31, 2022 (GLOBE NEWSWIRE) -- LPL Financial LLC today announced that advisors can now access separately managed account (SMA) strategies as an investment option within Model ...