Tag: securities fraud attorney
Cetera Censured and Fined $200,000 for Failure to Supervise
FINRA Censures Cetera for barred brokers’ outside activities. According to the Financial Industry Regulatory Authority (FINRA), the...
State of MA Investigates Broker-Dealers for Private Placement Sales
Private Placement Investments Investigation According to reports, the State of Massachusetts has launched an investigation into sales...