Violation Tracker Individual Record
Company:LPL Financial LLC
Date:September 23, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
LPL Financial agreed to pay $1.425 million to resolve multistate litigation alleging investor protection violations regarding non-traded REITs.
Level of Government:state
Action Type:agency action
Agency:Multistate Financial Regulators 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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