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Tag: Cetera  failure to supervise

3 Cetera Firms to pay $1 Million for Supervisory Issues, featured by top securities fraud attorneys, The White Law Group

Blog, FINRA SEC Sanctions

December 17, 2020

3 Cetera Firms to pay $1 Million for Supervisory Issues

FINRA Censures and Fines Cetera for Alleged Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December...

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Cetera

Blog, Securities Fraud Articles

July 12, 2018

Cetera Censured and Fined $200,000 for Failure to Supervise

FINRA Censures Cetera for barred brokers’ outside activities. According to the Financial Industry Regulatory Authority (FINRA), the...

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