LPL Financial Fined Following AML Complaint
In response to a complaint filed by the SEC, LPL Financial has agreed to pay more than $4.8 million dollars in fines and restitution to the Municipality of Mayaguez, Puerto Rico in connection with antifraud violations by Eugenio Garcia Jimenez, Jr., an unregistered investment adviser not affiliated with LPL. According to the order issued by […]