Close

A National Securities Arbitration & Investment Fraud Law Firm

Articles Posted in Cetera Financial Specialists

Updated:

Cetera Subsidiaries Ordered to Pay More Than $6 Million for Variable Annuities Violations

The Financial Industry Regulatory Authority (“FINRA”) fined eight firms, including VOYA Financial Advisors (CRD# 2882) (“VOYA”) and five broker-dealer subsidiaries of Cetera Financial Group (Cetera Advisor Networks LLC (CRD# 13572)), for failing to supervise sales of variable annuities (VAs).  The eight firms are required to pay a fine of $6.2…

Contact Us
Start Chat