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Violation Tracker Current Parent Company Summary

Current 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: $114,229,817
Number of records: 51
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$112,229,81750
consumer-protection-related offenses$2,000,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$112,229,81750
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.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYear sort iconAgencyPenalty Amount
Investment Centers of America, Inc.investor protection violation2005FINRA$363,500
Investment Centers of America Inc.investor protection violation2006ND-SEC$6,000
Investment Centers of America, Inc.investor protection violation2007MO-SEC$1,031,618
LPL Financial Corporationinvestor protection violation2008SEC$275,000
LPL Financial Corporationinvestor protection violation2008TX-SEC$5,000
LPL Financial Corp.investor protection violation2009MT-FIN$1,294,416
LPL Financial Corp.investor protection violation2010IL-SEC$300,000
LPL Financial Corp.investor protection violation2010MO-SEC$37,540
LPL Financial, LLCinvestor protection violation2011IL-SEC$250,000
LPL Financial LLCinvestor protection violation2011OR-FIN$100,000
LPL Financial LLCinvestor protection violation2012MT-FIN$30,500
LPL Financial, LLCinvestor protection violation2013IN-SEC$14,000
LPL Financial LLCinvestor protection violation2013MA-SEC$500,000
LPL Financial LLCinvestor protection violation2013MO-SEC$185,000
UVEST Financial Services Group, Inc.investor protection violation2013MULTI-FIN$750,000
LPL Financial LLCinvestor protection violation2013FINRA$9,000,000
LPL Financial, LLCinvestor protection violation2014IL-SEC$2,000,000
LPL Financial, LLCinvestor protection violation2014IL-SEC$815,218
LPL Financial LLCinvestor protection violation2014FINRA$950,000
LPL Financial LLCconsumer protection violation2015MULTI-AG$2,000,000
LPL Financial LLCinvestor protection violation2015DE-SEC$200,000
LPL Financial LLCinvestor protection violation2015MA-SEC$250,000
LPL Financial, LLCinvestor protection violation2015NH-BSR$750,000
LPL Financial LLCinvestor protection violation2015MULTI-FIN$1,425,000
LPL Financial LLCinvestor protection violation2015FINRA$6,300,000
LPL Financial LLCinvestor protection violation2015FINRA$11,700,000
LPL Financial LLCinvestor protection violation2016TX-SEC$95,000
LPL Financial LLCinvestor protection violation2016FINRA$750,000
LPL Financial, LLCinvestor protection violation2017NJ-AG$975,000
LPL Financial LLCinvestor protection violation2017MA-SEC$975,000
LPL Financial LLCinvestor protection violation2017MA-SEC$1,000,000
LPL Financial LLCinvestor protection violation2018AL-SEC$80,000
LPL Financial, LLCinvestor protection violation2018IN-SEC$450,000
LPL Financial LLCinvestor protection violation2018MS-SEC$40,000
LPL Financial LLCinvestor protection violation2018MULTI-FIN$26,000,000
LPL Financial, LLCinvestor protection violation2018FINRA$2,750,000
LPL Financial LLCinvestor protection violation2019SEC$9,333,516
LPL Financial LLCinvestor protection violation2019MULTI-AG$25,848,000
LPL Financial LLCinvestor protection violation2019AK-DBS$499,000
LPL Financial LLCinvestor protection violation2019AR-SEC$40,000
LPL Financial LLCinvestor protection violation2019MA-SEC$1,100,000
LPL Financial LLCinvestor protection violation2019MD-SEC$499,000
LPL Financial LLCinvestor protection violation2019SC-SEC$40,000
LPL Financial LLCinvestor protection violation2019FINRA$280,000
LPL Financial LLCinvestor protection violation2020NH-BSR$976,000
LPL Financial LLCinvestor protection violation2021SEC$891,202
LPL Financial LLCinvestor protection violation2021CT-SEC$500,000
LPL Financial LLCinvestor protection violation2022TX-SEC$125,000
LPL Financial LLCinvestor protection violation2022NH-BSR$10,307
LPL Financial, LLCinvestor protection violation2023PA-BKG$190,000
LPL Financial, LLCinvestor protection violation2023MA-SEC$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.