New York A.G. James Announces Multistate Settlement With LPL Financial After Firm Violated Laws
June 28, 2019
June 28, 2019
ALBANY, New York, June 28 -- New York Attorney General Letitia James issued the following news release:
New York Attorney General Letitia James today announced a multistate settlement with LPL Financial LLC (LPL) that mandates the firm offer to repurchase specific securities from investors after the firm sold unregistered securities to clients across the nation.
"When New Yorkers invest with financial firms, they trust those firms to obey the law and act with inte . . .
New York Attorney General Letitia James today announced a multistate settlement with LPL Financial LLC (LPL) that mandates the firm offer to repurchase specific securities from investors after the firm sold unregistered securities to clients across the nation.
"When New Yorkers invest with financial firms, they trust those firms to obey the law and act with inte . . .