May 23 (Reuters) - The top U.S. securities regulator on Thursday filed civil fraud charges against a former LPL Financial LLC adviser, charging he diverted some $2 million of client funds to use for ...

Thomas Edward Andrews, a former broker with LPL Financial in rural Utah who's now in federal prison, has been charged by the SEC with defrauding 23 investors. Also included in the charge is his former ...

Class actions regarding Ponzi schemes, lawsuits alleging the mistreatment of departing advisors and investigations into pandemic economic relief fraud are among the most recent legal battles in the ...

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