Articles Tagged with Centaurus Financial

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Munoz (Munoz), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Munoz 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 $21,000.00 on June 11, 2024.

The customer alleges that in May of 2020, the Registered Representative recommended an unsuitable, 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 Bryon Martinsen (Martinsen), previously associated with Centaurus Financial, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Martinsen 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 $175,000.00 on June 11, 2024.

The customers allege 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mike Kilpatrick (Kilpatrick), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kilpatrick 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 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.

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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.

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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.

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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

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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.

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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.

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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.

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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.

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