News

The amended complaint follows an action filed in Denver in late August, charging Cetera with breaking its fiduciary duty to clients.

A new report by the arbitration attorneys’ group points to continued abuses of FINRA’s expungement process; the group calls for an independent investigation into the latest issues.

Other customers are also evaluating relationships with Fisher.

Discount brokerage firms are cracking down on their own advisors who have jumped ship for other firms or independence.