Updated Saturday, May 25, 2013 as of 11:18 PM ET
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Cetera Fined and Censured by FINRA Over Filings
Ann Marsh
FINRA has fined and censured a company owned by Cetera Financial Group, one of the country’s largest networks of independent broker-dealers, $40,000 for late and improper filings in more than half of its sales branch offices, among other filing problems.
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