Securities Arbitration Lawyers BlogCentaurus Financial Customer Disputes
The SEC has strict rules about how a broker-dealer operates, runs their business and keeps records. Any variation from these rules can trigger a sanction or other regulatory process. Centaurus Financial has been the subject of multiple sanctions for various infractions and disputes filed by customers. For these regulatory sanctions, the company has paid over half a million dollars in penalties, fines and fees over the years. In some cases, there were no financial products involved or sold, only regulatory violations.
Centaurus has paid out over three million dollars in securities arbitration awards and judgments.
Attorney Scott Silver, of the Silver Law Group says:
“Centaurus Financial has been the recipient of multiple FINRA actions, including 11 regulatory events and 8 reported arbitration claims. Not all of these are major issues, but they could be relevant to an investor doing business with Centaurus.”
Centaurus has been involved in these FINRA or State regulatory events including:
- REIT’s (Real Estate Investment Trusts);
- Private Placements;
- Reg D Offerings; and
- High Yield Investment Products.
If you’ve done business with Centaurus Financial and believe you have suffered losses because of unsuitable investments, contact the securities lawyers at Silver Law Group, a national Securities Arbitration & Investment Fraud Law firm. Let Silver Law Group protect you and your financial future.