From: lyger (lygerattrition.org)
Date: Thu Sep 11 2008 - 18:13:26 CDT

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http://datalossdb.org/incidents/1034

http://www.sec.gov/litigation/admin/2008/34-58515.pdf

[...]

In view of the foregoing, the Commission deems it appropriate and in the
public interest to impose the sanctions agreed to in Respondent LPL's
Offer.

Accordingly, pursuant to Sections 15(b) and 21C of the Exchange Act and
Sections 203(e) and 203(k) of the Advisers Act, it is hereby ORDERED that:

A. Respondent LPL shall cease and desist from committing or causing any
violations and any future violations of Rule 30(a) of Regulation S-P (17
C.F.R. 248.30(a)).

B. Respondent LPL is censured.

C. IT IS FURTHER ORDERED that Respondent shall, within ten (10) days of
the entry of this Order, pay a civil money penalty in the amount of
$275,000.00 to the United States Treasury. If timely payment is not made,
additional interest shall accrue pursuant to 31 U.S.C. 3717. Such payment
shall be: (A) made by United States postal money order, certified check,
bank cashier's check or bank money order; (B) made payable to the
Securities and Exchange Commission; (C) hand-delivered or mailed to the
Office of Financial Management, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Stop 0-3, Alexandria, VA 22312;
and (D) submitted under cover letter that identifies LPL as a Respondent
in these proceedings, the file number of these proceedings, a copy of
which cover letter and money order or check shall be sent to Michele Wein
Layne, Associate Regional Director, Division of Enforcement, Securities
and Exchange Commission, 5670 Wilshire Boulevard, 11th Floor, Los Angeles,
California 90036.

[...]
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