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Tagged with "Cetera"

FINRA Suspends Cetera Broker for Accepting $50,000 Client Bequest Without Firm Approval

Posted on March 2nd, 2026 at 2:01 PM
FINRA Suspends Cetera Broker for Accepting $50,000 Client Bequest Without Firm Approval

The Financial Industry Regulatory Authority (FINRA) imposed a $10,000 fine and a seven-month suspension on an independent broker for accepting a $50,000 bequest from a client without obtaining prior firm approval.

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Cetera Fined $1.1 Million Over Supervisory and AML Deficiencies

Posted on February 13th, 2026 at 11:20 AM
Cetera Fined $1.1 Million Over Supervisory and AML Deficiencies

The Financial Industry Regulatory Authority (FINRA) has censured and fined Cetera Financial Group $1.1 million after identifying supervisory system and anti-money laundering (AML) failures across several subsidiary broker-dealers.

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FINRA Bars Former Cetera Advisor Who Converted Client Funds

Posted on April 13th, 2022 at 1:31 PM
FINRA Bars Former Cetera Advisor Who Converted Client Funds

The Financial Industry Regulatory Authority (FINRA) has barred a former Cetera Financial advisor for allegedly converting $40,000 from her client accounts in order to purchase mutual fund shares for her son.

 
 

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FINRA Outlines Key Rulemaking Priorities and Recent Developments in Quarterly Agenda

The Financial Industry Regulatory Authority (FINRA) recently released its Quarterly Regulatory Policy Agenda, offering a detailed view of its rulemaking priorities, pending proposals, and recently approved regulatory changes.

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