FINRA has barred Rudy Anguiano of Chino Hills, CA, a former registered representative of LPL Financial LLC, from associating with any FINRA member firm in all capacities.
The Securities and Exchange Commission (SEC) today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC.
LPL Financial has agreed to pay $6.5 million fine as a part of a settlement with FINRA concerning fingerprinting and screening of associated persons.
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