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Posted inRegulatory Enforcement

Cetera affiliates fined $1M each over conflicts of interest

by Kyle Brasseur October 25, 2022October 28, 2022

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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 (SEC) alleging the defrauding of Cetera advisory clients.

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