Close

Articles Posted in Massachusetts

Updated:

LPL Financial Fined by FINRA for Failing to Supervise Sales of Alternative Investments

On March 24, 2014, LPL Financial LLC, the fourth largest broker dealer, measured by number of salespersons, was fined $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise the way that its brokers marketed and sold nontraditional investments.  The fine is one of many that have recently…

Contact Us