LPL Financial isn't out of the regulatory woods just yet -- but is hoping to get there by the end of the year.

Cleaning up "historical items" that have led to  numerous compliance problems over the past year "isn't quite complete yet,"  says LPL chairman and chief executive Mark Casady, who adds that there will be "more [lawsuits] to settle" this year.

Register or login for access to this item and much more

All Financial Planning content is archived after seven days.

Community members receive:
  • All recent and archived articles
  • Conference offers and updates
  • A full menu of enewsletter options
  • Web seminars, white papers, ebooks

Don't have an account? Register for Free Unlimited Access