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  1. LPL hit with $3.6 million enforcement action for nontraded REIT sales

    New Hampshire regulator brings case after 81-year-old resident suffers substantial losses in a nontraded real estate investment trust.

  2. New Hampshire wants LPL to pay $3.6M over nontraded REIT sales

    Case, involving 48 sales, stems from an 81-year-old investor who lost a substantial amount on the product.

  3. Why it may be time to start believing in banks again

    Why it may be time to start believing in banks again

  4. UPDATE: Why it may be time to start believing in banks again

    UPDATE: Why it may be time to start believing in banks again

  5. UPDATE: Why it may be time to start believing in banks again

    UPDATE: Why it may be time to start believing in banks again

  6. 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

  7. 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.

  8. 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.

  9. 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.

  10. 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.

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