Charlotte area financial services firm to pay $18M to settle anti-money laundering charges
The SEC detailed accusations against the broker-dealer firm, which has several thousand workers in the region.
LPL to Pay $18 Million to Resolve Anti-Money-Laundering Allegations
The Securities and Exchange Commission alleges that LPL didn’t adhere to an organized process for addressing restrictions on ...
SEC charges La Jolla’s LPL Financial with anti-money laundering violations
LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...
WealthManagement.com6d
LPL Financial Hit with Anti-Money Laundering Violations
As part of a flurry of moves in the last days of the Biden administration, the Securities and Exchange Commission announced ...
LPL Financial to Pay $18M Fine for Anti-Money Laundering Failures
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.
InvestmentNews6d
LPL to pay $18M over AML program deficiencies
SEC charges describe multiple failures in customer identification programs and shortfalls related to high-risk accounts ...
Compliance Week2d
SEC fines LPL Financial $18M for failed due diligence on new, high-risk accounts
Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...
Charlotte Observer6d
Charlotte area financial services firm to pay $18M to settle anti-money laundering charges
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 ...