All Cetera Financial Group articles

  • Cetera Financial
    Article

    Cetera affiliates fined $1M each over conflicts of interest

    2022-10-25T19:08:00Z

    A pair of investment advisers owned by Cetera Financial Group must pay a total of more than $8.6 million as part of a final judgment obtained by the Securities and Exchange Commission alleging the defrauding of Cetera advisory clients.

  • Cyber-security
    Article

    ​SEC sanctions 8 over email breaches

    2021-08-31T16:42:00Z

    The Securities and Exchange Commission penalized eight firms across three separate actions for breaches of employee email accounts that exposed the personal information of thousands of customers in each case.