LPL failed to follow its own anti-money-laundering procedures when it opened a customer account and processed wire transfers for Eugenio Garcia Jimenez, Jr., an unregistered investment advisor who ...

LPL Financial claims Ameriprise “has sunk to a new low” by sending out allegedly “misleading” notifications about a data breach, which the firm says is an attempt to frighten LPL customers and hurt ...

LPL Financial is suing Ameriprise for alleged defamation, accusing the firm of sending "data breach" notices to thousands of LPL customers that falsely claimed their personal information was ...

The court order came after LPL agreed to drop its lawsuit that sought a temporary restraining order against its competitor last Thursday, according to a court filing. But that doesn’t mean the ...

SAN DIEGO, Nov. 12, 2025 (GLOBE NEWSWIRE) -- LPL Financial LLC, a leading wealth management firm, today announced the launch of its Cash Management Account (CMA), a solution designed to simplify ...

LPL Financial has been fined $150,000 by Finra over allegations that it failed to stop a registered representative from using client funds as part of a Ponzi scheme. The broker-dealer agreed to the ...