News Report 10/30/17
The New Jersey Bureau of Securities has fined LPL Financial almost $1 million for unsuitable REIT and BDC sales. According to InvestmentNews, LPL Financial allegedly let its brokers sell excessive amounts of alternative investments and failed to supervise its brokers concerning suitability requirements tied to the sale of illiquid alternative investments. New Jersey fined LPL […]
News Report 10/30/17 Read More »