Defendant Name:
LPL Financial LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
34-93708
Document Details
Legal Case Name
In the Matter of LPL Financial LLC
Document Name
Order Appointing Tax Administrator
Document Date
02-Dec-2021
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
The Commission ordered that: "Miller Kaplan . . . is appointed the Tax Administrator for the QSF in the above-referenced proceeding."
Disgorgement & Penalty Information
Resolutions
Order appointing tax administrator