Tagged with "Cetera"

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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