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Investment firm agrees to fine and censure over sales of real...

PROVIDENCE – An investment firm owned by Boston-based LPL Financial LLC has agreed with Massachusetts securities regulators to pay a $50,000 fine for its...
FINANCIAL SERVICES FIRM LPL Financial has agreed to pay a settlement of $26 million for illegally selling unregistered, nonexempt securities since October 2016. The company reached the settlement April 30 with Massachusetts and Alabama, which were lead investigators in the matter, and the North American Securities Administrators Association.

Firm reaches settlement, buy-back plan for illegal sale of securities

PROVIDENCE – The financial services firm LPL Financial LLC has agreed to pay a settlement of $26 million for illegally selling unregistered, nonexempt securities...
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Wednesday December 5, 2018

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