All Cetera Financial Group articles

  • Cetera Financial

    Cetera affiliates fined $1M each over conflicts of interest


    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

    ​SEC sanctions 8 over email breaches


    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.