LPL Financial LLC, fined $ 9 million for E-mail Violations
The penalizing of LPL is seen as a warning to businesses to ensure their business does not outgrow their compliance systems. LPL Financial LLC, the U.S. based wealth management advisory firm, with over 13,300 advisors must pay a total of $ 9 million as fine to the Financial Industry Regulatory Authorities (FINRA). They have been...