Violation Tracker Individual Record
Company:LPL Financial LLC
Date:September 23, 2015
Offense Group:consumer-protection-related offenses
Primary Offense:consumer protection violation
LPL Financial agreed to pay $2 million to Massachusetts and Delaware to resolve allegations it placed clients in unsuitable investments.
Level of Government:state
Action Type:agency action
Agency:Multistate Attorneys General Case
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:California
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:investment advisory services
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