LPL Financial

An LPL independent contractor accuses the firm of not doing enough to stop salacious remarks directed at him that started after a top Bank of Springfield executive learned he was gay.

Cadaret Grant agreed to fines to clear up allegations that it had failed to disclose conflicts with costly mutual funds and sweeps accounts.

The latest push-pull episode between the giant firm and its large branches came to light in its earnings call. Unanswered questions loom large for its future.

A founder of Harbor Lights Financial Group said he and his partners scouted possible private equity buyers and decided LPL was the best option for preserving their firm's legacy.

Firms' practice of offering low returns on clients' uninvested cash is becoming the latest hot legal target.

The latest court dispute between the two wealth management giants issues a widespread indictment against LPL's recruiting practices.

With the exact timeline and eventual destination unclear, the private equity-backed firm was revealed as one of two major OSJs departing from LPL.

The surprise announcement of their exit distracted from some record metrics and the firm's indication that it will be keeping its cash sweep yields the same.

The family-run Investment Advisors Financial Group team brings $1 billion in assets.

The latest legal action over the industry's handling of clients' uninvested cash suggests sweeps are a bigger profit generator than most firms let on.