Tag: Cetera
SEC Adds Another Cetera Firm to Fraud Complaint
The Securities and Exchange Commission has amended a complaint to add Cetera Advisor Networks LLC, a registered investment adviser and broker-dealer, as a defendant...
SEC: Cetera Investment Advisers to Pay $185,000 for Solicitation Disclosure Violations
Cetera Investment Advisers LLC, a registered investment adviser affiliated with Cetera Financial Group Inc., will pay a penalty of $185,000 to settle SEC charges...
Blucora To Rebrand Wealth Management Division
Blucora, Inc. (NASDAQ: BCOR), a firm focused on wealth management and tax preparation, will rebrand its wealth management business to Avantax Wealth Management.
With the...
Cetera Hires Former FINRA Director as General Counsel
Cetera Financial Group, the second-largest independent financial advisor network in the nation by number of advisors, has hired former FINRA director David A. Greene...
SEC Charges Cetera Advisors with Defrauding Retail Advisory Clients
The Securities and Exchange Commission has charged Cetera Advisors LLC, a registered investment adviser and broker-dealer based in Denver, Colorado, with breaching its fiduciary...
Summit to Drop Broker-Dealer Status and Join Another Cetera Firm
Summit Brokerage, an independent broker-dealer within the Cetera Financial Group network, is dropping its broker-dealer status and will join another Cetera firm, Cetera Advisor...
FINRA Bars Former Cetera Advisors Rep
Financial Industry Regulatory Authority has barred former Cetera Advisors representative George C. Merhoff Jr. for failing to provide documents and information to the regulators...
Blucora Hires Former Cetera Exec as President of Wealth Management
Blucora Inc., a firm focusing on wealth management and tax preparation, has named Enrique Vasquez as president of wealth management, where he will be...
Cetera to Acquire Assets of Foresters’ Brokerage and Advisory Business
Cetera, a network of independent broker-dealer firms, has entered into a definitive agreement to purchase select assets of Foresters Financial's U.S. broker dealer and advisory...
Cetera Adds Teacher-Founded Credit Union to Platform
Cetera, a network of independent broker-dealer firms, has added Rogue Credit Union's Investment Services to the Cetera Financial Institutions platform.
Rogue is a not-for-profit, cooperative...
