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  1. Ex-LPL broker barred over loans for luxury Hawaii vacation rental

    Raymond Schmidt borrowed some $2.25 million from customers to build an island retreat without notifying his firm, Finra said.

  2. LPL cuts cash bonuses for top three executives in 2014

    CEO Mark Casady takes biggest hit; $1.5M bonus is down 41% from previous year

  3. UPDATE: Don't fear the Fed or the greenback surge

    UPDATE: Don't fear the Fed or the greenback surge

  4. Robert Moore jumps ship at LPL

    One-time heir apparent to Mark Casady to lead asset manager Legal & General Investment Management America, an institutional money manager.

  5. Moore tops list of executives who have left LPL in last year

    Advisers lamented news of Robert Moore's departure as a number of well-known executives have left in the past year.

  6. 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.

  7. 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.

  8. 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.

  9. 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.

  10. 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.

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