Tag Archives: Cetera Financial Specialists LLC

Cetera Stockbroker Sanctioned For Unauthorized Trading

January 03, 2021  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   Comments Off on Cetera Stockbroker Sanctioned For Unauthorized Trading

John D. Craft of Philadelphia Pennsylvania a stockbroker formerly registered with Cetera Financial Specialists LLC has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Craft executed trades without authorization. Letter of Acceptance Waiver and Consent No. 2019062964801 (Dec. […]

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Cetera Stockbroker Sanctioned For Unauthorized Transactions

June 23, 2020  |   Posted by :   |   Unauthorized Trading   |   Comments Off on Cetera Stockbroker Sanctioned For Unauthorized Transactions

Robert Silverman of Red Bank New Jersey a stockbroker formerly employed by Cetera Financial Specialists LLC has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on the stockbroker’s consent to findings that he made unauthorized transactions in a customer’s account. Letter […]

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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 […]

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