Centaurus Financial

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.

Broker Cameron Woodbury in Centaurus Financial, Inc. Firm Has Customer Complaint

April 4, 2025 | by Staff Attorney

Currently financial advisor Cameron Woodbury (Woodbury), currently employed by brokerage firm Centaurus Financial, Inc. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint on August 21, 2024.

During the period of 2017 through 2024, the Claimant’s allege that While selling shares in a Private Placement company via a Private Placement memorandum, away from Broker Dealer, the Registered Representative engaged in unfair business practices, provided untrue statements, constructive fraud, neglect misrepresentation, financial elder abuse, and breached his fiduciary duty.

There are Recent Customer Complaints with Broker Joseph Todd in Firm Centaurus Financial, Inc.

April 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Todd (Todd), previously associated with Centaurus Financial, Inc., has at least 15 disclosable events. These events include 13 customer complaints, 2 regulatory events, alleging that Todd 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 $84,000.00 on August 22, 2024.

The customer alleges that in December 2019, the Registered Representative recommended and misrepresented an unsuitable, illiquid investment.

There are Recent Customer Complaints with Broker Christopher Gordon in Firm Centaurus Financial, Inc.

April 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Gordon (Gordon), currently associated with Centaurus Financial, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Gordon 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 August 30, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas Investment. No specific dates for the alleged activity were identified by the Prior Broker Dealer.

Broker Michael Chauvenet in Centaurus Financial, Inc. Firm Has Customer Complaint

March 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Chauvenet (Chauvenet), currently associated with Centaurus Financial, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Chauvenet 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 $292,800.00 on January 15, 2025.

The customer alleges that the Registered Representative gave poor investment recommendations with a lack of return. No Specific dates for the alleged activity were identified by the Claimant.

There are Recent Customer Complaints with Broker Marcel Pahmer in Firm Centaurus Financial, Inc.

March 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcel Pahmer (Pahmer), previously associated with Centaurus Financial, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Pahmer 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 $471,000.00 on January 29, 2025.

The customer alleges that in 2021, the Registered Representative recommended and misrepresented unsuitable, high-risk, and illiquid investments.

There are Recent Customer Complaints with Broker Fera Shivaee in Firm Centaurus Financial, Inc.

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fera Shivaee (Shivaee), currently associated with Centaurus Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shivaee 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 February 03, 2025.

The customers allege that in 2020 through 2024, the Registered Representative recommended unsuitable, high-risk, speculative and illiquid investments.

There are Recent Customer Complaints with Broker Troy Tremblay in Firm Centaurus Financial, Inc.

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Tremblay (Tremblay), currently associated with Centaurus Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tremblay 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 $88,000.00 on February 26, 2025.

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