by Jeff Pederson | Jun 15, 2025 | Uncategorized
LPL overcharging has been alleged by state regulators. On June 9, 2025, a consortium of state regulators announced a settlement of charges against LPL, Edward Jones, Stifel, RBC and TD Ameritrade concerning a practice of charging unreasonable commissions. The uniform...
by Jeff Pederson | Jul 2, 2019 | Uncategorized
If you were with James “Jimmy” Booth, and question whether you are a victim of investment fraud, please call 303-300-5022. Booth has previously been a broker for LPL, Invest Financial, and Cadaret, Grant & Co. He did business for these firms under...
by Jeff Pederson | May 2, 2018 | Uncategorized
LPL Financial will pay up to $26 million to settle charges that its representatives sold unregistered securities to clients over the past 12 years. This includes the payment not only of a certain amount for certain unregistered securities, it also includes a...
by Jeff Pederson | May 6, 2015 | Uncategorized
LPL is the focus of regulatory actions. In April 2025, LPL’s clients suffered a trading outage during an active trading session. For hours, customers could not access accounts during steep market drops. The lack of access on the part of LPL’s...
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