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Tag: Private Securities Transactions

FINRA Fines Cetera $1 Million for Failure to Supervise Private Securities Transactions in Client Accounts

February 26, 2021

FINRA recently disclosed that Cetera Advisor Networks LLC, Cetera Advisors, LLC and Cetera Financial Specialists, LLC, (Cetera Firms) agreed to an Acceptance, Waiver and Consent...

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