All LPL Financial articles

  • LPL Financial
    Article

    LPL Financial to pay $4.8M to settle claims of poor KYC procedures

    2021-10-01T19:44:00Z

    The nation’s presumed top independent broker-dealer will pay more than $4.8 million to settle AML charges stemming from its alleged failure to reconcile inconsistencies of a new customer who would scam a Puerto Rican city out of millions of dollars.

  • Article

    LPL Financial names chief accounting officer

    2020-12-28T17:28:00Z

    LPL Financial, believed to be the largest independent broker-dealer in the United States, announced Brent Simonich has joined the firm as executive vice president, chief accounting officer and treasurer.