Articles Tagged with Centaurus Financial

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Sheard (Sheard), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sheard 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 April 04, 2023.

In November 2020, the customers allege that the Registered Representative improperly recommended an unsuitable, high risk and illiquid investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gail Hilder (Hilder), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hilder 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 $100,000.00 on April 04, 2023.

In January 2021, the customers allege that the Registered Representative improperly recommended a high-risk and illiquid investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Dipietro (Dipietro), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dipietro 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 $100,000.00 on April 14, 2023.

The customers allege that the Registered Representative misrepresented speculative, high-risk investments. No specific dates for the alleged activity were identified/ noted 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 one disclosable event. These events include one customer complaint, 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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Appel (Appel), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Appel 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 May 15, 2023.

In April 2019, July 2020 and October 2020, the customer alleges that the Registered Representative misrepresented the investment and breached his fiduciary duty.

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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 July 25, 2025.

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 Lisa 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 settled customer complaint with a damage request of $200,000.00 on June 14, 2023.

The Customer alleges that the financial advisor recommended risky, complex, long-term and 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 Kenji Saito (Saito), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Saito 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 $75,000.00 on June 29, 2023.

The customer alleges that in September 2019,  the Registered Representative recommended a high-risk, illiquid and unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Donlevie (Donlevie), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Donlevie 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 $45,000.00 on June 29, 2023.

In July 2020, the customer alleges that the Registered Representative recommended a high-risk, illiquid and unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Sweeney (Sweeney), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sweeney 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 $45,000.00 on June 29, 2023.

In July 2020, the customer alleges that the Registered Representative recommended a high-risk, illiquid and unsuitable investment.

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