LPL Names Ex-SEC Enforcer Head of Legal, Government Relations
David Bergers, former SEC deputy director of enforcement, will be general counsel and lead LPL's legal and government relations efforts.
LPL Names Oroschakoff Chief Risk Officer
LPL announced Friday that Michelle Oroschakoff, formerly global risk officer at Morgan Stanley, has been appointed chief risk officer and managing director.
LPL Q1 Earnings Rise on Strong Hybrid-RIA, Other Growth
Net new assets across its different platforms hit $3 billion in early 2013.
Top Posts at Broker-Dealers See Big Changes
LPL, Morgan Stanley and Raymond James all announced big moves recently.
LPL’s Latest Shot in Tech ‘Arms Race’: Naming Ex-IT Exec to Board
Several experts are wowed by former Xerox CEO Anne Mulcahy’s new role at LPL.
As LPL’s Dwyer Steps Down, Moore Steps In
After 20 years, the executive leaves the IBD’s sales efforts in the hands of the Advisor & Institution Solutions president.
LPL to Pay Up to $2.5M in Nontraded REITs Case
The violations took place between 2006 and 2009 in Massachusetts, regulators say.
LPL, Country’s Largest IBD, Grapples With Its Own Success
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.
Wirehouses, Others Actively Attract Reps
In the final months of 2012, the wirehouse firms continued to recruit advisors from each other and from other broker-dealers.
LPL Taps Ex-Dell CIO for Top Tech Post
Victor Fetter will move from Austin to Charlotte, N.C., to head the independent broker-dealer's growing IT squad.