Violation Tracker Parent Company Summary

Parent Company Name: 
LPL Financial
Ownership Structure: 
publicly traded (ticker symbol LPLA)
Headquartered in: 
California
Major Industry: 
financial services
Specific Industry: 
investment advisory services
Penalty total since 2000: 
$79,193,808
Number of records: 
36
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$77,193,80835
consumer-protection-related offenses$2,000,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$77,193,80835
consumer protection violation$2,000,0001
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Associated Names: 

Investment Centers of America, Inc.; LPL Financial LLC; UVEST Financial Services Group, Inc.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
LPL Financial LLC investor protection violation 2018 MULTI-FIN $26,000,000
LPL Financial LLC investor protection violation 2019 MULTI-AG $25,848,000
LPL Financial LLC investor protection violation 2019 SEC $9,333,516
LPL Financial LLC consumer protection violation 2015 MULTI-AG $2,000,000
LPL Financial, LLC investor protection violation 2014 IL-SEC $2,000,000
LPL Financial LLC investor protection violation 2015 MULTI-FIN $1,425,000
LPL Financial Corp. investor protection violation 2009 MT-SEC $1,294,416
LPL Financial LLC investor protection violation 2019 MA-SEC $1,100,000
Investment Centers of America, Inc. investor protection violation 2007 MO-SEC $1,031,618
LPL Financial LLC investor protection violation 2017 MA-SEC $1,000,000
LPL Financial, LLC investor protection violation 2017 NJ-AG $975,000
LPL Financial LLC investor protection violation 2017 MA-SEC $975,000
LPL Financial, LLC investor protection violation 2014 IL-SEC $815,218
LPL Financial, LLC investor protection violation 2015 NH-BSR $750,000
UVEST Financial Services Group, Inc. investor protection violation 2013 MULTI-FIN $750,000
LPL Financial LLC investor protection violation 2013 MA-SEC $500,000
LPL Financial LLC investor protection violation 2019 AK-DBS $499,000
LPL Financial LLC investor protection violation 2019 MD-SEC $499,000
LPL Financial, LLC investor protection violation 2018 IN-SEC $450,000
LPL Financial Corp. investor protection violation 2010 IL-SEC $300,000
LPL Financial Corporation investor protection violation 2008 SEC $275,000
LPL Financial, LLC investor protection violation 2011 IL-SEC $250,000
LPL Financial LLC investor protection violation 2015 MA-SEC $250,000
LPL Financial LLC investor protection violation 2015 DE-SEC $200,000
LPL Financial LLC investor protection violation 2013 MO-SEC $185,000
LPL Financial LLC investor protection violation 2011 OR-FIN $100,000
LPL Financial LLC investor protection violation 2016 TX-SEC $95,000
LPL Financial LLC investor protection violation 2018 AL-SEC $80,000
LPL Financial LLC investor protection violation 2019 AR-SEC $40,000
LPL Financial LLC investor protection violation 2018 MS-SEC $40,000
LPL Financial LLC investor protection violation 2019 SC-SEC $40,000
LPL Financial Corp. investor protection violation 2010 MO-SEC $37,540
LPL Financial LLC investor protection violation 2012 MT-SEC $30,500
LPL Financial, LLC investor protection violation 2013 IN-SEC $14,000
Investment Centers of America Inc. investor protection violation 2006 ND-SEC $6,000
LPL Financial Corporation investor protection violation 2008 TX-SEC $5,000
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