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LPL’s hiring of general counsel not a knee-jerk reaction to scrutiny, CEO says

June 20, 2013

Investment News

As reported in the article, “LPL’s hiring of general counsel not a knee-jerk reaction to scrutiny, CEO says,” which appeared in Investment News, LPL Financial recently hired a former Securities and Exchange Commission official as general counsel and managing director for legal and government relations. Although LPL has had several run-ins with regulators and claims that is not the reason for his hire, the firm recognized that his “deep knowledge and very recent experience at the SEC” were factors that supported hiring him. In the article, Sutherland Partner Brian Rubin agrees that it is helpful for financial firms to hire former regulators because they “have a unique understanding of what the other side is thinking and what their priorities are.”

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