Why the SEC Dropped Its Cash Sweep Investigation into LPL [Yahoo! Finance]
LPL Financial Holdings Inc. (LPLA)
Last lpl financial holdings inc. earnings: 4/30 04:05 pm
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US:NASDAQ Investor Relations:
investor.lpl.com
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Source: Yahoo! Finance
Nothing to sweep here. The Securities and Exchange Commission dropped its cash sweep investigation into LPL Financial, the latest sign of shifting priorities for the agency after it dismissed a similar case against Morgan Stanley in May. Under Chairman Paul Atkins, the agency is grappling with investigations begun under the Biden administration while pushing for a more business-friendly, deregulatory environment. The results could mean fewer avenues for clients to find out what's really happening to their money, said Bill Singer, a veteran Wall Street regulatory lawyer. “When the average client reads about this case, they're going to be shocked that a financial institution took money that was not theirs,” Singer said. “And not only did they think it was OK, but they got away with it.” LPL didn't respond to a request for comment. SUBSCRIBE: Receive more of our free Advisor Upside newsletter. READ ALSO: Why Advisors Can't Ignore the Balance Sheet and Texas Stock Exchange Gores
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LPLA
Earnings
- 1/29/26 - Beat
LPLA
Sec Filings
- 3/4/26 - Form 4
- 3/2/26 - Form 144
- 2/27/26 - Form 4
- LPLA's page on the SEC website