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  1. LPL Financial hit with $2M fine, ordered to pay $820K in restitution

    LPL Financial last month was hit with a $2 million fine, and ordered to pay $820,000 in restitution, for failing to maintain adequate books and records documenting variable annuity exchanges.

  2. Former LPL exec Bruton lands

    Ex-managing director of LPL Financial is named CEO of Lucia Capital Group, a firm that includes an RIA and broker-dealer and has $2.3 billion of client assets.

  3. Onetime rival Cole now a selling machine for Schorsch

    After getting broker-dealers like LPL Financial to sign selling agreements, asset manager Cole Capital expects to raise $3.1 billion this year for American Realty Capital Properties.

  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 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.

  6. 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.

  7. 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.

  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 Nominates former Xerox Chairwoman to Board

    If approved by stockholders in LPL's annual meeting in May, Mulcahy will also serve on the Board's Audit Committee.

  10. LPL ’s Latest Shot in Tech ‘Arms Race’: Naming Ex-IT Exec to Board

    Several experts are wowed by former Xerox CEO Anne Mulcahy’s new role at LPL .

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