{"id":535080,"date":"2021-09-07T16:08:06","date_gmt":"2021-09-07T20:08:06","guid":{"rendered":"https:\/\/www.marketnewsdesk.com\/index.php\/matthew-morningstar-joins-lpl-financial-as-evp-compliance-legal-risk\/"},"modified":"2021-09-07T16:08:06","modified_gmt":"2021-09-07T20:08:06","slug":"matthew-morningstar-joins-lpl-financial-as-evp-compliance-legal-risk","status":"publish","type":"post","link":"https:\/\/www.marketnewsdesk.com\/index.php\/matthew-morningstar-joins-lpl-financial-as-evp-compliance-legal-risk\/","title":{"rendered":"Matthew Morningstar Joins LPL Financial as EVP, Compliance, Legal & Risk"},"content":{"rendered":"
\n

CHARLOTTE, N.C., Sept. 07, 2021 (GLOBE NEWSWIRE) — LPL Financial LLC<\/a> today announced that Matthew Morningstar has joined the firm as executive vice president, Compliance, Legal & Risk, effective Sept. 7. In his role, Morningstar has oversight of the firm\u2019s litigation, arbitrations, regulatory matters, and customer disputes. He reports to Michelle Oroschakoff, LPL chief legal officer and managing director, Compliance, Legal & Risk.<\/p>\n

\u201cMatt is a proven litigator and leader with deep knowledge of our industry\u2019s legal and regulatory environment. With his legal expertise and strategic acumen, he will further enable us to extend a customer care approach to our legal functions and drive positive outcomes for our business partners,\u201d said Oroschakoff. \u201cIn addition, Matt understands the strength that comes from diverse teams with multitudes of perspectives and experiences. His steadfast commitment to social justice and diversity inspires us all. We are confident Matt will lead his team with the same people-oriented approach and provide substantial support to LPL\u2019s diversity and inclusion initiatives. We are incredibly fortunate to have him join the LPL family.\u201d<\/p>\n

Morningstar joins LPL from Morgan Stanley, where he most recently served as head of Litigation and Regulatory Enforcement for the Investment Management division. Morningstar received a bachelor\u2019s degree from Columbia University and a law degree from Cornell Law School. When he\u2019s not working, Morningstar devotes his time to activism and civic engagement. He is the co-chair of the Committee to Enhance Diversity in the Profession for the New York City Bar. In addition, he has been awarded the 2013 Out and Proud Corporate Counsel Award from the National LGBT Bar Association and the Advisory Council Leadership Award from the National Association of Minority and Women Owned Law Firms.<\/p>\n

\u201cI am thrilled to be part of LPL,\u201d Morningstar said. \u201cI look forward to connecting and collaborating with LPL\u2019s Compliance, Legal and Risk teams, as well as clients and colleagues across the organization and beyond, to drive strategic excellence in the firm\u2019s legal functions and contribute to the mission of taking care of advisors so they can take care of their clients.\u201d<\/p>\n

\n
\n About LPL Financial<\/u>
\n <\/strong>
\n
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.<\/p>\n

\n *Top RIA custodian (Cerulli Associates, 2019 U.S. RIA Marketplace Report); No. 1 Independent Broker-Dealer in the U.S. (Based on total revenues, Financial Planning magazine 1996-2021); No. 1 provider of third-party brokerage services to banks and credit unions (2020-2021 Kehrer Bielan Research & Consulting Annual TPM Report); Fortune 500 as of June 2021<\/em>\n <\/p>\n

Securities and advisory services offered through LPL Financial LLC, an SEC-registered broker-dealer and investment advisor.\u00a0Member FINRA\/SIPC.\u00a0<\/p>\n

Throughout this communication, the terms \u201cfinancial advisors\u201d and \u201cadvisors\u201d are used to refer to registered representatives and\/or investment advisor representatives affiliated with LPL Financial LLC.\u00a0We routinely disclose information that may be important to shareholders in the \u201cInvestor Relations\u201d or \u201cPress Releases\u201d section of our website.<\/p>\n

Connect with Us!<\/p>\n

\n https:\/\/twitter.com\/lpl<\/a>\n <\/p>\n

\n https:\/\/www.linkedin.com\/company\/lpl-financial<\/a>\n <\/p>\n

\n https:\/\/www.facebook.com\/LPLFinancialLLC<\/a>\n <\/p>\n

\n https:\/\/www.youtube.com\/user\/lplfinancialllc<\/a>\n <\/p>\n

\n
\n Media Contact:<\/u>
\n <\/strong>
\n
Lauren Hoyt-Williams
(980) 321-1232
Lauren.Hoyt-Williams@lplfinancial.com<\/a><\/u><\/p>\n


\n
\n \n <\/div>\n

<\/div>\n","protected":false},"excerpt":{"rendered":"

CHARLOTTE, N.C., Sept. 07, 2021 (GLOBE NEWSWIRE) — LPL Financial LLC today announced that Matthew Morningstar has joined the firm as executive vice president, Compliance, Legal & Risk, effective Sept. 7. In his role, Morningstar has oversight of the firm\u2019s litigation, arbitrations, regulatory matters, and customer disputes. He reports to Michelle Oroschakoff, LPL chief legal officer and managing director, Compliance, Legal & Risk. \u201cMatt is a proven litigator and leader with deep knowledge of our industry\u2019s legal and regulatory environment. With his legal expertise and strategic acumen, he will further enable us to extend a customer care approach to our legal functions and drive positive outcomes for our business partners,\u201d said Oroschakoff. \u201cIn addition, Matt understands the strength that comes … <\/p>\n

Continue reading “Matthew Morningstar Joins LPL Financial as EVP, Compliance, Legal & Risk”<\/span><\/a><\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[],"tags":[],"class_list":["post-535080","post","type-post","status-publish","format-standard","hentry"],"yoast_head":"\nMatthew Morningstar Joins LPL Financial as EVP, Compliance, Legal & Risk - Market Newsdesk<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.marketnewsdesk.com\/index.php\/matthew-morningstar-joins-lpl-financial-as-evp-compliance-legal-risk\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Matthew Morningstar Joins LPL Financial as EVP, Compliance, Legal & Risk - Market Newsdesk\" \/>\n<meta property=\"og:description\" content=\"CHARLOTTE, N.C., Sept. 07, 2021 (GLOBE NEWSWIRE) — LPL Financial LLC today announced that Matthew Morningstar has joined the firm as executive vice president, Compliance, Legal & Risk, effective Sept. 7. In his role, Morningstar has oversight of the firm\u2019s litigation, arbitrations, regulatory matters, and customer disputes. He reports to Michelle Oroschakoff, LPL chief legal officer and managing director, Compliance, Legal & Risk. \u201cMatt is a proven litigator and leader with deep knowledge of our industry\u2019s legal and regulatory environment. With his legal expertise and strategic acumen, he will further enable us to extend a customer care approach to our legal functions and drive positive outcomes for our business partners,\u201d said Oroschakoff. \u201cIn addition, Matt understands the strength that comes … Continue reading "Matthew Morningstar Joins LPL Financial as EVP, Compliance, Legal & Risk"\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.marketnewsdesk.com\/index.php\/matthew-morningstar-joins-lpl-financial-as-evp-compliance-legal-risk\/\" \/>\n<meta property=\"og:site_name\" content=\"Market Newsdesk\" \/>\n<meta property=\"article:published_time\" content=\"2021-09-07T20:08:06+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.globenewswire.com\/newsroom\/ti?nf=ODMyMTQ2NiM0MzkyNzE3IzIwMTkxNDA=\" \/>\n<meta name=\"author\" content=\"Newsdesk\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Newsdesk\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"Article\",\"@id\":\"https:\\\/\\\/www.marketnewsdesk.com\\\/index.php\\\/matthew-morningstar-joins-lpl-financial-as-evp-compliance-legal-risk\\\/#article\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/www.marketnewsdesk.com\\\/index.php\\\/matthew-morningstar-joins-lpl-financial-as-evp-compliance-legal-risk\\\/\"},\"author\":{\"name\":\"Newsdesk\",\"@id\":\"https:\\\/\\\/www.marketnewsdesk.com\\\/#\\\/schema\\\/person\\\/482f27a394d4fda80ecb5499e519d979\"},\"headline\":\"Matthew Morningstar Joins LPL Financial as EVP, Compliance, Legal & Risk\",\"datePublished\":\"2021-09-07T20:08:06+00:00\",\"mainEntityOfPage\":{\"@id\":\"https:\\\/\\\/www.marketnewsdesk.com\\\/index.php\\\/matthew-morningstar-joins-lpl-financial-as-evp-compliance-legal-risk\\\/\"},\"wordCount\":639,\"image\":{\"@id\":\"https:\\\/\\\/www.marketnewsdesk.com\\\/index.php\\\/matthew-morningstar-joins-lpl-financial-as-evp-compliance-legal-risk\\\/#primaryimage\"},\"thumbnailUrl\":\"https:\\\/\\\/www.globenewswire.com\\\/newsroom\\\/ti?nf=ODMyMTQ2NiM0MzkyNzE3IzIwMTkxNDA=\",\"inLanguage\":\"en-US\"},{\"@type\":\"WebPage\",\"@id\":\"https:\\\/\\\/www.marketnewsdesk.com\\\/index.php\\\/matthew-morningstar-joins-lpl-financial-as-evp-compliance-legal-risk\\\/\",\"url\":\"https:\\\/\\\/www.marketnewsdesk.com\\\/index.php\\\/matthew-morningstar-joins-lpl-financial-as-evp-compliance-legal-risk\\\/\",\"name\":\"Matthew Morningstar Joins LPL Financial as EVP, Compliance, Legal & Risk - 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