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Consent Order - Alabama Securities Commissionasc.alabama.gov/Orders/2016/CO-2016-0002.pdf · WHEREAS, LPL, as part of this settlement, agrees to comply with all state and federal

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Page 1: Consent Order - Alabama Securities Commissionasc.alabama.gov/Orders/2016/CO-2016-0002.pdf · WHEREAS, LPL, as part of this settlement, agrees to comply with all state and federal
Page 2: Consent Order - Alabama Securities Commissionasc.alabama.gov/Orders/2016/CO-2016-0002.pdf · WHEREAS, LPL, as part of this settlement, agrees to comply with all state and federal
Page 3: Consent Order - Alabama Securities Commissionasc.alabama.gov/Orders/2016/CO-2016-0002.pdf · WHEREAS, LPL, as part of this settlement, agrees to comply with all state and federal
Page 4: Consent Order - Alabama Securities Commissionasc.alabama.gov/Orders/2016/CO-2016-0002.pdf · WHEREAS, LPL, as part of this settlement, agrees to comply with all state and federal
Page 5: Consent Order - Alabama Securities Commissionasc.alabama.gov/Orders/2016/CO-2016-0002.pdf · WHEREAS, LPL, as part of this settlement, agrees to comply with all state and federal
Page 6: Consent Order - Alabama Securities Commissionasc.alabama.gov/Orders/2016/CO-2016-0002.pdf · WHEREAS, LPL, as part of this settlement, agrees to comply with all state and federal
Page 7: Consent Order - Alabama Securities Commissionasc.alabama.gov/Orders/2016/CO-2016-0002.pdf · WHEREAS, LPL, as part of this settlement, agrees to comply with all state and federal
Page 8: Consent Order - Alabama Securities Commissionasc.alabama.gov/Orders/2016/CO-2016-0002.pdf · WHEREAS, LPL, as part of this settlement, agrees to comply with all state and federal
Page 9: Consent Order - Alabama Securities Commissionasc.alabama.gov/Orders/2016/CO-2016-0002.pdf · WHEREAS, LPL, as part of this settlement, agrees to comply with all state and federal
Page 10: Consent Order - Alabama Securities Commissionasc.alabama.gov/Orders/2016/CO-2016-0002.pdf · WHEREAS, LPL, as part of this settlement, agrees to comply with all state and federal
Page 11: Consent Order - Alabama Securities Commissionasc.alabama.gov/Orders/2016/CO-2016-0002.pdf · WHEREAS, LPL, as part of this settlement, agrees to comply with all state and federal

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