Close

Articles Posted in Alternative investments

Updated:

Supervisory Failure Leaves LPL Financial with Heavy Fines

Investor lawyers say the Financial Industry Regulatory Authority (FINRA) found supervisory deficiencies related to investment concentration at leading independent broker-dealer LPL Finanical.    As a result of alleged unsuitable recommendations, FINRA has announced a penalty in the form of a $950,000 against LPL Financial. Alternative investments can include a variety of…

Contact Us