Updated Monday, December 22, 2014 as of 2:49 AM ET

Email This Article

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.

Login for Registered Users:

Log in below to email an article:

The December Issue is now online!


TWITTER
FACEBOOK
LINKEDIN

Industry Events

January 19, 2015 |

January 26, 2015 |

February 11, 2015 |

March 4, 2015 |

April 26, 2015 |

Already a subscriber? Log in here