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Tag: Cetera Financial Specialists

Cetera

Blog, Securities Fraud

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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Cetera Financial Group

Blog, Securities Fraud

August 23, 2017

Cetera Broker-dealers to pay $3.3 million in Restitution

Cetera Financial Group Settles with FINRA According to reports, five Cetera Financial Group broker-dealers reached settlements with the...

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