Finra Fines LPL $950000 Over Alternative Investment Sales
Wall Street Journal
Wall Street's self-regulator fined LPL Financial LLC $950,000 for inappropriate sales of several types of alternative investments, including nontraded real-estate investment trusts, to its clients. LPL, the nation's largest network of independent ...
LPL Fined $950000 for Failing to Supervise Sale of Alternative Investments
LPL Financial Fined $950000 by FINRA Over Alt Sales
Regulator fines LPL Financial $950000 over sale of alternatives