Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Rowett (Rowett), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rowett recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on February 24, 2026.
The customer alleges that during the period August 2019 through September 2022, the Registered Representative’s investment recommendations, and/or strategy, and/or transactions violated FINRA rules 2010, 2020, 2090, and 2011.