LPL Financial has agreed to pay an $18 million civil penalty for the SEC described as significant shortcomings in the firm's anti-money laundering program. The reported violations, which occurred ...

Ameriprise Financial Services' ongoing legal battle against LPL Financial recruiting its advisors took a twist this week. On Monday a federal judge in Seattle granted a restraining order to Ameriprise ...

July 30 (Reuters) - Ameriprise Financial (AMP.N), opens new tab said on Tuesday it had filed a lawsuit in a U.S. district court against LPL Financial (LPLA.O), opens new tab, alleging it harvests and ...

LPL Financial, a La Jolla-based investment and wealth management services firm, fired its CEO Dan Arnold on Tuesday for making statements to employees that violated the company’s code of conduct. The ...

When LPL Financial said it would acquire Commonwealth Financial Network, it sparked a recruiting frenzy. Rivals have swooped in to offer Commonwealth advisors lucrative deals to switch firms while LPL ...

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 29,000 ...