What is the lawsuit against Cetera?
Cetera Financial Group and its affiliated advisor entities faced intense regulatory enforcement actions and class action lawsuits concerning investment practices and data security failures. The Securities and Exchange Commission previously penalized Cetera for breaching fiduciary duties by failing to disclose conflicts of interest related to mutual fund 12b-1 fee selections. Additionally, class actions have targeted its cash sweep programs for allegedly prioritizing corporate profits over client yields by placing uninvested customer cash into low-interest accounts, alongside separate legal investigations concerning consumer data breaches.
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