The following is a brief breakdown of publicly available information regarding Centaurus Financial and its securities sales practices and FINRA regulatory history.
Centaurus Financial is a FINRA registered broker-dealer based in Anaheim, California. Although Centaurus Financial has a solid reputation in the securities industry, investors should know that the firm does have numerous reportable events on its FINRA Broker Report (or CRD).
According to the firm’s CRD, Centaurus Financial has been named in at least 7 regulatory events related to possible securities fraud violations. The firm has been the subject of investigations conducted by FINRA, the State of Nevada Division of Securities, and the State of New York Insurance Department (among others). These regulatory investigations involved the following investment products (among others): municipal securities, insurance, and annuities.
The firm has also been named in at least 4 FINRA arbitration claims filed by investors. These claims involved various investment types and causes of action.
The foregoing is but a brief summary of the firm’s FINRA Broker Report. To access Centaurus Financial’s full CRD, you can visit http://brokercheck.finra.org.
If you have any questions about investments you made with Centaurus Financial, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. To contact the firm, please call 312/238-9650 or 561/807-6804.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.
For more information on The White Law Group, please visit https://whitesecuritieslaw.com.Tags: Anaheim California securities attorney, Anaheim California securities lawyer, broker fraud, California securities attorney, California securities lawyer, Centaurus Financial annuities, Centaurus Financial class action, Centaurus Financial compliance record, Centaurus Financial fraud, Centaurus Financial insurance, Centaurus Financial investigation, Centaurus Financial lawsuit, Centaurus Financial losses, Centaurus Financial news, Centaurus Financial scam, Chicago securities attorney, Chicago securities lawyer, investment fraud, Los Angeles securities attorney, Los Angeles securities lawyer, securities arbitration Last modified: July 17, 2015