Updated Friday, October 31, 2014 as of 10:03 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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