Wall Street Cop Finra Goes Quiet on the Beat as Its Caseload Plunges [BNN Bloomberg (Canada)]
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LPL Financial Holdings Inc. (LPLA)
Last lpl financial holdings inc. earnings: 4/30 04:05 pm
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Source: BNN Bloomberg
But there was no press release when the Financial Industry Regulatory Authority hit LPL Financial Holdings Inc. with the $6 million penalty. Nor did Finra seek attention for its multimillion-dollar sanctions of Goldman Sachs Group Inc. and Barclays Plc months earlier. The quiet end to those probes capped a year in which the number of enforcement actions brought by the brokerage industry's self-funded regulator slid to the lowest level in its history. Total fines picked up last year but are down by about half since a peak in 2016. Meanwhile, Finra's headcount and budget have expanded. The declines are raising concerns that the watchdog isn't policing firms with the same aggressive posture it adopted after the 2008 financial crisis and multibillion-dollar Ponzi scams by brokerage operators Bernie Madoff and Allen Stanford, both of which went undetected for years. Finra rejects the idea that it has pulled back on enforcement. But some are raising the question: Will the regulator c
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News
- Stock market today: Indexes cap stellar first half of 2024 with losses even after encouraging inflation report [Yahoo! Finance]Yahoo! Finance
- Stock market today: Indexes cap stellar first half of 2024 with losses even after encouraging inflation report [Business Insider]Business Insider
- Wall Street Cop Finra Goes Quiet on the Beat as Its Caseload Plunges [Yahoo! Finance]Yahoo! Finance
- Markets today: Treasuries climb as data embolden bets on soft PCE [BNN Bloomberg (Canada)]BNN Bloomberg
- Jobless claims data show 'warning sign' for the US labor market [Yahoo! Finance Canada]Yahoo! Finance Canada
LPLA
Earnings
- 4/30/24 - Beat
LPLA
Sec Filings
- 6/18/24 - Form 4
- 6/14/24 - Form 4
- 6/14/24 - Form 144
- LPLA's page on the SEC website