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LPL Financial LLC Violates FINRA Supervision Rules During Its Expansion

On May 6, 2015, LPL Financial LLC (“LPL”) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial Industry Regulatory Authority’s (“FINRA”) Department of Enforcement to settle allegations that LPL violated FINRA supervisory rules.  The AWC was submitted “without admitting or denying the findings,” and on the condition…

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