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Tag: Cetera


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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Blog, Current Investigations

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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