Articles tagged "Jim Shorris"
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LPL Financial dumps FSI then goes full swank on lobbying office -- but legislative agendas of FSI and LPL don't reveal any divide
The big broker-dealer stopped paying dues to the Financial Service Institute but it'll pay up for hot offices near the White House
June 8, 2016 at 10:19 PM
LPL keeps on stockpiling tip-top compliance execs, with JP Morgan's ex-CCO the latest
Tracy Calder joins a lengthening line of hires that follow a deluge of SEC fines
January 26, 2016 at 4:11 PM
Weighed down by nonstop fines, LPL finally buys ounce of prevention by putting ex-FINRA veterans on its payroll
Mark Casady also seats a former assistant attorney general on his board
October 6, 2015 at 9:19 PM
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