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Wealth ManagementNewsCetera Affiliate Fined $200K By Finra Over Custodial Account Supervision Failures
Cetera Affiliate Fined $200K By Finra Over Custodial Account Supervision Failures
Wealth ManagementLegal

Cetera Affiliate Fined $200K By Finra Over Custodial Account Supervision Failures

•February 23, 2026
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Financial Advisor Magazine (FA Mag)
Financial Advisor Magazine (FA Mag)•Feb 23, 2026

Cetera Affiliate Fined $200K By Finra Over Custodial Account Supervision Failures

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