Articles Tagged with Centaurus Financial

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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 $1,500,000.00 on March 27, 2025.

The customer alleges that in 2013 through 2023, the Registered Representative recommended unsuitable, illiquid investments.

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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 one disclosable event. These events include one customer complaint, 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 $50,000.00 on April 01, 2025.

The customer alleges that in April of 2021, the Registered Representative recommended and misrepresented an unsuitable, high-risk, illiquid investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelley Slaught (Slaught), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Slaught 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 April 01, 2025.

The customers allege that the Registered Representative recommended and misrepresented unsuitable, high-risk, illiquid investments and didn’t adequately diversify their portfolio. 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 Bart Cutino (Cutino), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cutino 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 $230,000.00 on April 14, 2024.

This customer dispute/claim is a ‘products’ case wherein CLAIMANTS allege that RESPONDENT [Centaurus Financial] did not conduct reasonable due diligence on an investment that they approved for their advisors & clients to purchase.\, The claimants’ original investment was made in April 2019 and the investment company filed for chapter 11 bankruptcy in 2022. Their claim of ‘unsuitability’ is being made in arrears due to the investment company’s recent financial challenges, which were non-existent & therefore unknowable at the time of their investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Elias (Elias), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Elias 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 $80,000.00 on April 14, 2024.

The customer alleges that the Registered Representative recommended an unsuitable, high-risk, investment 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 Trevin Kent (Kent), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kent 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 $230,000.00 on April 14, 2024.

This customer dispute/claim is a ‘products’ case wherein CLAIMANTS allege that RESPONDENT [Centaurus Financial] did not conduct reasonable due diligence on an investment that they approved for their advisors & clients to purchase.\, The claimants’ original investment was made in April 2019 and the investment company filed for chapter 11 bankruptcy in 2022. Their claim of ‘unsuitability’ is being made in arrears due to the investment company’s recent financial challenges, which were non-existent & therefore unknowable at the time of their investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Seymour (Seymour), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, 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 $50,000.00 on April 18, 2024.

In early 2021, the customer alleges that the Registered Representative recommended an unsuitable, high-risk, and illiquid investment and breached her fiduciary duty.

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

FINRA BrokerCheck shows a pending customer complaint on April 23, 2024.

The customer alleges that the Registered Representative made unsuitable recommendations, account mismanagement 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 Scott Phillips (Phillips), currently associated with Centaurus Financial, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Phillips 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 $68,000.00 on April 22, 2024.

The customer alleges that in May 2019, the Registered Representative recommended an unsuitable, high-risk, investment and breached his fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Goldberg (Goldberg), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldberg 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 $5,000.00 on April 26, 2024.

Client alleges forgery of her signature on fixed index annuity application.

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