LPL Financial, Edward Jones, RBC, Stifel and TD Ameritrade were fined more than $9 million and have agreed to repay customers as part of a sweeping multi-state regulatory settlement in which the major ...
Edward Jones & Co. has agreed to pay a $17 million fine to settle state regulators’ charges that it failed to supervise and fully correct instances where advisors wrongfully charged commissions on ...
Five brokerage firms, including Edward Jones and LPL Financial, have agreed to pay a combined $9.3 million in fines to settle state securities regulators’ allegations that they charged unreasonable ...
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