Centaurus Financial

There are Recent Customer Complaints with Broker William Dobbs in Firm Centaurus Financial, INC.

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Dobbs (Dobbs), currently associated with Centaurus Financial, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Dobbs 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 $30,920.00 on June 11, 2024.

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

Broker Gary Sauve in Centaurus Financial, INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Sauve (Sauve), previously associated with Centaurus Financial, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Sauve 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 $150,000.00 on June 28, 2024.

The customers allege that in February 2019, the Registered Representative recommended and misrepresented an unsuitable, high-risk, illiquid investment and breached his fiduciary duty.

Broker George Howard in Centaurus Financial, INC. Firm Has Customer Complaint

April 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Howard (Howard), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Howard 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 $100,000.00 on July 15, 2024.

In May 2020 and in November 2020, the customers allege that the Registered Representative recommended unsuitable, high-risk, and illiquid investments and breached his fiduciary duty

Broker Donald Mcfarland in Centaurus Financial, INC. Firm Has Customer Complaint

April 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 12, 2024.

The customers allege that in 2008 through 2021, the Registered Representative recommended and misrepresented a high-risk, and unsuitable annuity and breached his fiduciary duty.

Broker Chad Mclane in Centaurus Financial, INC. Firm Has Customer Complaint

April 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Mclane (Mclane), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mclane 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 $28,182.01 on August 26, 2024.

Client alleges that the Variable Annuity she bought in November 2020 was not suitable, based on her age and liquidity needs.

Broker Mark Upchurch in Centaurus Financial, Inc. Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Upchurch (Upchurch), previously associated with Centaurus Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Upchurch 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 $500,000.00 on July 30, 2024.

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

There are Recent Customer Complaints with Broker Patrick Hobert in Firm Centaurus Financial, Inc.

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Hobert (Hobert), currently associated with Centaurus Financial, Inc., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Hobert 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 $112,000.00 on July 31, 2024.

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

There are Recent Customer Complaints with Broker Joel Harworth in Firm Centaurus Financial, Inc.

April 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Harworth (Harworth), currently associated with Centaurus Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harworth 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 $60,000.00 on August 05, 2024.

In March 2019 and December 2019, the customers allege that the Registered Representative recommended unsuitable, high-risk, illiquid investments and breached his fiduciary duty.

There are Recent Customer Complaints with Broker Lawrence Rice in Firm Centaurus Financial, Inc.

April 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 14, 2024.

Without admitting or denying the findings, Rice consented to the sanction and to the entry of findings that he declined to provide documents and information requested by FINRA in connection to its investigation of allegations made on a Form U5 by his member firm. The findings stated that Rice’s firm alleged that he failed to timely disclose a pending civil action in which he was named, as per firm policy and industry regulations.

Broker William Burks in Centaurus Financial, Inc. Firm Has Customer Complaint

April 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Burks (Burks), currently associated with Centaurus Financial, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Burks 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 $200,000.00 on August 20, 2024.

The customer alleges that the Registered Representative recommended unsuitable, illiquid, speculative investments and breached his fiduciary duty. No specific dates or investments were identified for the alleged activity in the Statement of Claim.