has announced charges against broker-dealer and investment adviser LPL Financial (NASDAQ:LPLA) LLC due to numerous failures in its anti-money laundering (AML) program. To settle the charges ...

LPL Financial has agreed to pay $18 million to resolve allegations that it failed to close or restrict thousands of high-risk accounts because of lax anti-money-laundering procedures.

the Securities and Exchange Commission announced charges against broker/dealer and investment advisor LPL Financial for multiple failures related to its anti-money laundering program. To resolve ...

Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its anti-money laundering program did not properly vet customers and failed to close ...

LPL Financial Holdings has agreed to pay an $18 million fine and to improve its anti-money laundering program to settle charges from the U.S. securities watchdog. The Securities and Exchange ...

LPL Financial Holdings Inc. Chief Executive Officer Rich Steinmeier took the helm of the wealth-management company in a ...

LPL Financial, a financial services firm with several thousand employees in the Charlotte region, will pay $18 million for anti-money laundering violations, the Securities and Exchange Commission ...

will pay $18 million to settle charges by the Securities and Exchange Commission for violations of anti-money laundering policies. The charges announced Friday by the SEC say that LPL Financial ...