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Sep 30, 2021 · LPL, without admitting or denying the SEC's findings, agreed to settle the charges by undertaking significant remedial measures, including the payment of over $4.1 million directly to MEDI, representing investor losses plus interest. LPL also agreed to pay a civil penalty of $750,000.
See LPL’s tips for recognizing the common indicators associated with investment scams and the steps to take to help protect your information and stay safe.
Dec 27, 2023 · LPL was fined $5.5 million and will pay more than $650,000 in restitution to direct business customers, according to FINRA’s disciplinary action published Wednesday. The self-regulatory organization alleged various violations at LPL between January 2012 and November 2022.
LPL Financial encourages users to be mindful and aware of phishing attacks that cyber-criminals use to gain access to important data. Learn about the goals behind cyber-criminals’ phishing attacks, common phishing methods (including “smishing” and “vishing”), and how to spot red flags to protect yourself.
Jul 26, 2023 · The Financial Industry Regulatory Authority fined LPL Financial $3 million for allegedly failing to adequately supervise the firm’s registered representatives, according to the regulator.
Jun 2, 2021 · A former LPL Financial broker pleaded guilty on Friday to three counts of wire fraud and one count of aggravated identity theft after he allegedly misappropriated about $2.9 million from his...
Cybercriminals continue to evolve their scams, but there are still ways to spot certain scams and cyber-attacks before it’s too late. LPL provides a list of scams and what to look out for.
