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  1. Junk-Bond Worries Spread Beyond Oil

    Junk-Bond Worries Spread Beyond Oil

  2. Will LPL's back-office technology set a new bar for adviser productivity?

    Plus the latest on LPL's new collaboration with Redtail Technology, Laser App software sees continued growth and more.

  3. LPL picks up $520 million hybrid firm from Wells Fargo

    Goss Wealth Management switched firms as it hopes to build out a 'wirehouse lite” in the Gulf South region

  4. LPL Launches Group Focused on Retirement Plans

    LPL's retirement plan division, LPL Financial Retirement Partners, launched the Retirement Partners Group to provide members with a unified national identity. RPG members will receive the benefits of a comprehensive branding and marketing effort and the opportunity to network with other top LPL ...

  5. LPL Launches 401(k) Tool

    LPL is launching a new online tool that it says will let its advisors offer offer better visibility to plan sponsors and the millions of LPL clients who are invested in 401(k)s.

  6. LPL Gets Too Big for Its Email System, Faces $9M FINRA Fine for Failures

    FINRA announced Tuesday that it has fined LPL $7.5 million for 35 “significant email system failures,” which prevented LPL from supervising its reps, responding to regulatory requests and producing emails to customers in arbitration proceedings.

  7. LPL Revenues Top $1 Billion for First Time; Recruiting Slump Continues

    LPL Financial Holdings reported the strongest quarter in the company's nearly three years as a public company, with net revenues topping $1 billion for the first time. LPL's board of directors also announced the company's quarterly dividend would be raised 40% to 19 cents per share.

  8. FINRA Fines LPL $7.5M for Failing to Monitor Emails

    FINRA announced Tuesday that it had fined LPL $7.5 million for 35 “significant email system failures,” which prevented LPL from supervising its reps.

  9. LPL Hires Veteran Executive

    LPL Financial announced Tuesday that Ryan C. Parker has joined the firm as executive vice president of investment and planning solutions.

  10. LPL's Dwyer Said to Be Retiring

    Bill Dwyer, a 20-year LPL veteran and its president of national sales, is retiring from the independent broker-dealer, according to sources familiar with the situation.

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