Summit Brokerage
Cetera’s Summit to Pay $880,000 over Supervisory Lapses
Independent broker-dealer failed to identify excessive trading in customer accounts and improper reports to customers, Finra says.
Opco Broker in L.A. Producing $4 Mln Goes Independent
After an 18-year career with Oppenheimer, Larry Goldstein affiliates with Cetera’s Summit Brokerage in search of a bigger payout.
