Search for: "LPL Financial Corporation"
Results 1 - 5 of 5
Sorted by Relevance | Sort by Date
6 Oct 5:10 am
... /dealer mired in investor complaints and regulatory problems. In July, the Houston-based firm was fined $1 million by the Financial
Industry Regulatory Authority (FINRA) for supervisory failures that led to churning of customers' accounts and excessive commissions. In August ... failure to detect churning of
customer accounts by Horton and another Next Financial broker, Timothy Shively, as well as excessive markups and markdowns on corporate
bond trades by another two brokers. As a result, customers ...
24 Jul 11:12 am
... emphasize the importance of this area, the regulators discussed one SEC enforcement action in particular - In the Matter of LPL
Financial Corporation ("LPL"), formerly known as
Linsco/Private Ledger Corp., alleging a failure to adopt policies and procedures ... vulnerable to identity thieves or other unauthorized users at the firm's branch offices."
Ultimately, the matter was settled, with LPL agreeing to take various remedial measures to correct any noted perceived deficiencies in its
systems and to ...
24 Jul 11:12 am
... emphasize the importance of this area, the regulators discussed one SEC enforcement action in particular - In the Matter of LPL
Financial Corporation ("LPL"), formerly known as
Linsco/Private Ledger Corp., alleging a failure to adopt policies and procedures ... vulnerable to identity thieves or other unauthorized users at the firm's branch offices."
Ultimately, the matter was settled, with LPL agreeing to take various remedial measures to correct any noted perceived deficiencies in its
systems and to ...
29 Jan, 2008 9:09 pm
... - see #101. Richard Libman is the manager (and maybe sole member) of Phoenix Licensing, according to Arizona corporate records available here (hopefully). He also is the
manager of LPL Licensing (here). The patents involved in the MDL are 5,987,434 ("Apparatus and Method for Transacting Marketing and Sales of
Financial Products"), 6,076, ... Involving Financial Products and Services"), and 6,999,938
("Automated Reply Generation Direct Marketing System"). Yes, I'm sure that Chase and JP Morgan ...
4 Aug 7:00 am
... the inverse of the index's daily return fell 26 percent. • An ETF seeking to deliver three times the daily return of the Russell 1000 Financial Services Index fell 53 percent while the index actually gained around 8 percent. The related ETF seeking to deliver three ... have recovered over
$1,000,000 for clients on more than 30 occasions. Page Perry's attorneys are actively involved in representing institutional and corporate investors in securities cases. For
further information, please contact us.
Search on: Blawgs.FM | BlawgSearch Google Co-op |
Blawg.com | Bloglines | Feedster | Google Blog Search |
Technorati | Google | MSN | Yahoo!