LPL

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  FINRA Fines LPL $9M for Failing to Monitor Emails

  By Melanie Waddell, AdvisorOne  |  May 21, 2013

  FINRA announced Tuesday that it fined LPL for 35 separate, “significant email system failures,” and for making material misstatements to FINRA during its investigation.

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  Top Posts at Broker-Dealers See Big Changes

  By Janet Levaux, AdvisorOne  |  April 1, 2013

  LPL, Morgan Stanley and Raymond James all announced big moves recently.

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  FSI Names Derek Bruton, Seth Miller to Its Board

  By James J. Green, AdvisorOne  |  March 28, 2013

  The independent BD association names replacements for Bill Dwyer of LPL and Jim Livingston of National Planning Holdings.

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  As LPL’s Dwyer Steps Down, Moore Steps In

  By Janet Levaux, AdvisorOne  |  March 1, 2013

  After 20 years, the executive leaves the IBD’s sales efforts in the hands of the Advisor & Institution Solutions president.

• LPL Shares Results, Plans

  By Janet Levaux, AdvisorOne  |  February 22, 2013

  LPL Financial said its fourth-quarter earnings declined to $36.9 million, or $0.34 a share, from $39.5 million, or $0.35 a share, a year earlier.

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  LPL Beats Q4 Estimates, Outlines Outsourcing Plans

  By Janet Levaux, AdvisorOne  |  February 6, 2013

  LPL Financial said that it was planning to spend $70 million to $75 million through 2014 on outsourcing of back-office and other functions, information technology and related restructuring of its operations.

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  LPL, Country’s Largest IBD, Grapples With Its Own Success

  By Joyce Hanson, AdvisorOne  |  February 1, 2013

  While LPL, which reported earnings Wednesday, may lay off workers in some areas, its tech and research units are hiring as the IBD seeks selective growth.

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  LPL Trust Unit Aims to Boost Sales, Hires

  By Janet Levaux, AdvisorOne  |  January 23, 2013

  The Cleveland-based Private Trust Co. has added two executives and plans to work more with independent advisors affiliated with LPL.

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  Forget the TAMP, Pt. 1: It’s Time for the TFPP

  By Michael E. Kitces  |  July 23, 2012

  The inspiration for today's blog post is the recent announcement that LPL Financial has acquired Veritat. A new option is beginning to emerge: the Turnkey Financial Planning Program.

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  LPL Unit Buys Veritat, Aims to Bring Financial Planning to Masses

  By Gil Weinreich, AdvisorOne  |  July 10, 2012

  In a rare combination of brains and brawn, LPL’s NestWise has acquired Veritat Advisors, the brainchild of Wharton professor Kent Smetters, aiming to extend its reach to 32 million households.