Tag Archives: Alex P. Anderson

Cetera Financial Fined By FINRA For Failure To Supervise

July 16, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Cetera Financial Specialists LLC a broker-dealer headquartered in Schaumburg Illinois has been censured and fined $200,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that it failed to supervise outside business activities pursued by its staff. Letter of Acceptance Waiver and Consent No. 2015045233601 (July 9, 2018). According to the AWC, from […]

Read More »