News for LPL Financial Holdings Inc - Google Finance

LPL Financial Issues Statement on Settlement With FINRA - NASDAQ.com

Tue, 21 May 2013 14:51:33 GMT

LPL Financial Issues Statement on Settlement With FINRA - NASDAQ.com
NASDAQ (press release) - 5 hours ago

SAN DIEGO, May 21, 2013 (GLOBE NEWSWIRE) -- LPL Financial Holdings Inc. (Nasdaq:LPLA) (the "Company"), parent company of LPL Financial LLC ("LPL Financial"), today issued a statement regarding FINRA's announcement of its settlement with LPL ...

UPDATE 2-FINRA fines LPL Financial $9 mln for email violations - Reuters
FINRA fines LPL Financial $9 mln for email violations - Thomson Reuters News & Insight

Gray Firm Files Arbitrations Against LPL Financial Alleging Unsuitable Sales ...

Mon, 20 May 2013 17:40:13 GMT

Gray Firm Files Arbitrations Against LPL Financial Alleging Unsuitable Sales ...
NASDAQ - May 20, 2013

... multiple Financial Industry Regulatory Authority ("FINRA") arbitration proceedings on behalf of investors who allege that registered representatives of LPL Financial Holdings, Inc.'s (Nasdaq:LPLA) brokerage subsidiary recommended unsuitable ...

NASDAQ:LPLA Long-Term Investor Alert: LPL Financial Holdings Inc under ... - Empowered News (press release)

Richard Dragotta Rewarded for Excellence, Attends LPL Financial Summit 2013 ...

Tue, 21 May 2013 14:16:10 GMT

Richard Dragotta Rewarded for Excellence, Attends LPL Financial Summit 2013 ...
SBWire (press release) - 6 hours ago

LPL Financial LLC, a wholly owned subsidiary of LPL Financial Holdings Inc., is the nation's largest independent broker-dealer,* a top RIA custodian and a leading independent consultant to retirement plans.

LPL FINANCIAL HOLDINGS INC. : LPL Financial to Present at the Bank of ...

Fri, 03 May 2013 13:47:38 GMT

LPL FINANCIAL HOLDINGS INC. : LPL Financial to Present at the Bank of ...
4-traders (press release) - May 3, 2013

BOSTON, May 3, 2013 (GLOBE NEWSWIRE) -- LPL Financial Holdings Inc. (Nasdaq:LPLA) (the "Company"), parent company of independent broker-dealer LPL Financial LLC ("LPL Financial"), announced today that Dan Arnold, CFO, will present at the Bank ...

LPL Financial Welcomes Ingham Retirement Group to its Broker-Dealer and RIA ... - IT Business Net

LPL FINANCIAL HOLDINGS INC. : LPL Financial's Robert J. Moore Elected to ...

Tue, 30 Apr 2013 23:48:14 GMT

LPL FINANCIAL HOLDINGS INC. : LPL Financial's Robert J. Moore Elected to ...
4-traders (press release) - Apr 30, 2013

San Diego, CA - April 30, 2013 - LPL Financial LLC - the nation's largest independent broker-dealer,* a leading RIA custodian and a wholly owned subsidiary of LPL Financial Holdings Inc. (NASDAQ: LPLA) - today announced that Robert J. Moore, President ...

LPL FINANCIAL HOLDINGS INC. : LPL Financial Announces Financial Results ...

Thu, 25 Apr 2013 10:16:21 GMT

LPL FINANCIAL HOLDINGS INC. : LPL Financial Announces Financial Results ...
4-traders (press release) - Apr 25, 2013

BOSTON, April 25, 2013 (GLOBE NEWSWIRE) -- LPL Financial Holdings Inc. (Nasdaq:LPLA) (the "Company"), parent company of LPL Financial LLC ("LPL Financial"), today announced net revenue of $974.8 million for the first quarter of 2013, up 8.1% ...

LPL Financial Q1 Profit Rises - NASDAQ.com - NASDAQ
LPL Remains Focused on Growing Adviser Ranks - Wall Street Journal

LPL Financial Holdings Inc (NASDAQ:LPLA) Long-Term Investor Alert ...

Mon, 29 Apr 2013 15:05:10 GMT

LPL Financial Holdings Inc (NASDAQ:LPLA) Long-Term Investor Alert ...
SBWire (press release) - Apr 29, 2013

San Diego, CA -- (SBWIRE) -- 04/29/2013 -- An investigation on behalf of investors in shares of LPL Financial Holdings Inc (NASDAQ:LPLA) was announced concerning whether certain LPL Financial Holdings officers and directors possibly breached their ...

LPL Financial Congratulates Investment Program Managers for Recognition by ...

Wed, 01 May 2013 21:05:59 GMT

LPL Financial Congratulates Investment Program Managers for Recognition by ...
PR Web (press release) - May 1, 2013

LPL Financial LLC, a wholly owned subsidiary of LPL Financial Holdings Inc. (NASDAQ: LPLA), today congratulated seven of its LPL Financial Institution Services investment program managers for being ranked among the Top 20 for 2013 by Bank Investment ...

Broker-dealer LPL overhauling compliance practices after fines

Mon, 20 May 2013 23:38:41 GMT

Broker-dealer LPL overhauling compliance practices after fines
GlobalPost - 21 hours ago

NEW YORK (Reuters) - LPL Financial Holdings Inc, a fast-growing broker-dealer that offers services to more than 13,000 independent stockbrokers, is overhauling its compliance procedures following a flurry of regulatory complaints about sales abuses ...

Jeffrey Vincent Recognized by Barron's As One of America's Top 1000 Financial ...

Wed, 15 May 2013 21:26:14 GMT

Jeffrey Vincent Recognized by Barron's As One of America's Top 1000 Financial ...
County 10 - May 15, 2013

LPL Financial, a wholly owned subsidiary of LPL Financial Holdings Inc. (NASDAQ: LPLA), is the nation's largest independent broker-dealer* (based on total revenues, Financial Planning magazine, June 1996-2012), a top RIA custodian, and a leading ...