Broker-dealer LPL Financial has reached a settlement with the Financial Industry Regulatory Authority that will require the financial advising company to pay $6.5 million to end claims it didn't keep records and failed to fingerprint more than 7,000 people

FINRA - Financial Industry Regulatory Authority

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Published on Dec. 31st, 2020 Published on Dec. 31st, 2020

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Sept. 20th, 2021

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ELSEWARE/MSTAR will be speaking on climate stress on operational risk at the ORX forum on September 23. In particular, we will be presenting the work we have done on this topic with the American Bankers Association and a group of banks.