(Bloomberg) -- Two days after Christmas, a prominent Wall Street regulator updated a database with news of interest to the industry: A $1.4 trillion brokerage had been slapped with one of the year’s biggest fines for allegedly losing track of almost a million trades.Most Read from BloombergGavin Newsom Is Ready for the Biden EmergencyPanicked Emails, Gallows Humor: The Aftermath of Biden's Debate DisasterThe Question on Democrats’ Minds: How to Replace Biden?Biden’s Disastrous Debate Accelerates
Nathaniel Adams allegedly sent a spreadsheet to his wife that included clients’ Social Security numbers and birthdays.
Favorable market performance leads to a sequential improvement in LPL Financial's (LPLA) total brokerage and advisory assets in May 2024.