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Let's Go Auditing!

It’s the middle of the strangest year ever and we are hearing that LPL is about to start auditing branch offices in some modified format come July. So, following on the ‘strangest year ever’ theme I thought to change up the traditional blah-blah-blah about LPL policies and Audit’s typical findings.

These headlines from the last three weeks of Financial Advisor IQ articles serve as a potpourri of what not to be doing as a Financial Professional. They reflect the real and practical application of regulation.

We understand the requests put upon your time and the need to maintain extraordinary attention to detail. Your OSJ’s Compliance and Supervision Professionals are here to support and consult with you – let's make it a point to always talk first.

5-month suspension and to pay a $10,000 fine

9-month suspension and to pay an $8,500 fine

2-month suspension and to pay a $5,000 fine

1-month suspension and to pay a $5,000 fine

21-month suspension and agreed to pay a $15,000 fine

4-month suspension from the industry and to pay a $10,000 fine

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