Michael K. Freedman

Michael Freedman serves as EVP, Deputy General Counsel and Head of Litigation, Early Dispute Resolution, and Regulatory at LPL Financial. With over two decades of experience in both private practice and the financial services industry, Michael has spent his career advising broker-dealers and investment advisors in litigation and regulatory enforcement matters. Since joining LPL in 2019, Michael has contributed significantly to the firm’s legal function. Initially leading the Regulatory Enforcement team, he represented the company and its associates in regulatory matters involving the SEC, FINRA, and state regulators. In his current role, Michael is responsible for developing and managing LPL’s litigation and arbitration strategy, overseeing its customer dispute functions, and handling regulatory matters. He works closely with senior leaders around the firm to provide comprehensive strategic legal counsel that protects the firm while supporting its business objectives.

Michael is based in LPL’s Fort Mill, SC headquarters. Beyond his responsibilities at LPL, Michael serves on the ExCo of the SIFMA Compliance and Legal Society, reflecting his active engagement with the broader financial legal community.