Αποτελέσματα Αναζήτησης
30 Σεπ 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.
LPL Financial is a financial services company with a BBB rating of F. It has 51 complaints closed in the last 3 years, mostly about product issues and customer service. Read customer reviews and file a complaint if you have a problem with LPL Financial.
LPL Financial warns about common indicators of investment scams, such as high-pressure tactics, unsolicited emails, and guaranteed returns. Learn how to research, ask questions, and contact law enforcement if you are a victim of a scam.
26 Νοε 2023 · Read customer complaints and ratings about LPL Financial, a brokerage firm that offers investment services and financial advice. Find out if LPL Financial is a scam or a legitimate company, and how to avoid fraud and high fees.
26 Ιουλ 2023 · The Financial Industry Regulatory Authority imposed a $3 million fine on LPL Financial and mandated the brokerage pay two clients a total of $100,000 in restitution tied to allegations that...
2 Ιαν 2024 · LPL paid $6.15 million for failing to supervise direct transactions and send accurate information to clients. Interactive Brokers paid $3.5 million for best execution and supervision issues.
27 Δεκ 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.
