Articles Tagged with Centaurus Financial

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terri Fassi (Fassi), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fassi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on September 01, 2023.

The customer alleges that in September of 2019, the Registered Representative recommended a high-risk, speculative, complex, illiquid investment and breached her fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Atul Makharia (Makharia), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Makharia recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $499,000.00 on October 02, 2023.

The customers allege that the Registered Representative recommended unsuitable, high-risk, speculative, illiquid investments and breached his fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Arthur (Arthur), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Arthur recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on September 28, 2023.

The customer alleges that in December 2018, the Registered Representative recommended an unsuitable, speculative, high-risk, illiquid investment and breached his fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Sturges (Sturges), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sturges recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $27,438.79 on October 02, 2023.

The customers allege that in October 2022, the Registered Representative misrepresented, recommended an unsuitable investment and breached his fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Mantei (Mantei), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mantei recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $499,000.00 on October 02, 2023.

The customers allege that the Registered Representative supervised by the named Branch Manager recommended unsuitable, high-risk, speculative illiquid investments and breached his fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Burr (Burr), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Burr recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $298,000.00 on October 06, 2023.

The customers allege that the Registered Representative recommended unsuitable, high-risk, speculative and illiquid investments, and breached his fiduciary duty. No Specific dates for the alleged activity were identified in the Statement of Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Seymour (Seymour), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Seymour recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on October 11, 2023.

The customer alleges that in June of 2020, the Registered Representative recommended an unsuitable, high-risk, speculative and illiquid investment and breached his fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Peters (Peters), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Peters recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $85,000.00 on November 03, 2023.

The customers allege that in December of 2020, the Registered Representative recommended unsuitable, complex, high-risk, speculative and illiquid investments and breached his fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Macdonnell (Macdonnell), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Macdonnell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 28, 2024.

The customers allege that the Registered Representative recommended unsuitable investments and investment strategies in various illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cindy Chiellini (Chiellini), previously associated with Centaurus Financial, INC., has at least 43 disclosable events. These events include 43 customer complaints, alleging that Chiellini recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on April 12, 2023.

In mid-2019, the customer alleges that the Registered Representative recommended risky, illiquid, complex and high-risk investments.

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