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Tag: Cetera fined

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, Current Investigations

December 12, 2017

FINRA Censures Former Cetera Firms for Overcharges

Investors Capital Corp., J.P. Turner & Co. and VSR Financial Services to pay restitution According to The Financial Industry Regulatory...

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