Tag: Cetera Financial Specialists
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...
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...