Violation Tracker Individual Record
Company:LPL Financial LLC
Date:June 28, 2019
Offense Group:financial offenses
Primary Offense:investor protection violation
LPL agreed to pay more than $25 million to resolve multistate litigation alleging it sold unregistered securities.
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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