Cetera Settles Customers’ Claims of Unsuitability And Omissions Cetera Investment Services LLC (CRD#: 15340, Saint Cloud, Minnesota) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported, inter alia: eight regulatory events in regard to allegations of Cetera Investment Services’ violations of investment-related regulations or rules; and three FINRA arbitration awards […]