Tagged with "LPL Financial"

LPL Broker Fined and Suspended for Recommending Risky Investments to Elderly Client

Posted on September 12th, 2025 at 10:11 AM
LPL Broker Fined and Suspended for Recommending Risky Investments to Elderly Client

An LPL Financial broker in Elizabethtown, Kentucky, has agreed to sanctions after FINRA found he violated Regulation Best Interest (Reg BI) when recommending unsuitable investments to an elderly customer.

 

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LPL Financial Faces Lawsuit Over Alleged California Labor Code Violations

Posted on August 20th, 2025 at 3:14 PM
LPL Financial Faces Lawsuit Over Alleged California Labor Code Violations

LPL Financial is facing a lawsuit in California Superior Court alleging widespread wage and hour violations affecting non-exempt employees across the state.

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