LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. April 2019- Austin , Texas The Texas State Securities Board (TSSB) fined LPL Financial $450,000 and ordered a repurchase of certain securities sold to investors. In addition LPL agreed to pay $49,000 to the Texas Investor Education Fund of the Investor Protection Trust to be used for investor education. In the settlement agreement with Texas, … Continue reading LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX → The post LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX appeared first on Rex Securities Law BLOG.

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