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LPL Financial to Pay $3.4M to Settle REITS, ETF Probes September 25, 2015byEugene Grygo Broker-dealer LPL Financial will be paying $3.4 million in settlements and penalties after allegations that the firm failed to properly handle the sales and oversight of complex, leveraged exchange traded fund...
Current Price $456.77 NYSE: JEF Jefferies Financial Group Market Cap $16B Current Price $78.43 NYSE: BN Brookfield Corporation Market Cap $86B Current Price $57.00 Premium Investing Services Invest better with The Motley Fool. Get stock recommendations, portfolio guidance, and more from The Motley...
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LPL Financial Holdings Inc. is an independent broker-dealer and an investment advisory firm company. It offers an integrated platform of brokerage and investment advisory services to independent financial advisors and financial advisors at enterprises in the United States. Through its comprehensive platform...
LPL Financial, a wholly owned subsidiary of LPL Financial Holdings released its monthly activity report for August 2024. Total advisory and brokerage assets at the ...
LPL Financial Holdings Inc., together with its subsidiaries, provides an integrated platform of brokerage and investment advisory services to independent financial advisors and financial advisors at enterprises in the United States. Its brokerage offerings include variable and fixed annuities, mutual funds,...
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In early February, 16 firms in the advisor and broker-dealer space, including Cambridge Investment Research, Lincoln Financial Advisor, Northwestern Mutual Investment Services and Northwestern Mutual Investment Management, agreed to pay $81 million in penalties to settle SEC allegations they were responsib...