Our Staff has compiled our research into a database of FINRA Broker Disclosures for Centaurus Financial, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| William Charles Burks | 2944992 | 13 | 01/22/2010 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Dwayne Howard Kappell | 2159603 | 2 | 01/15/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Dale Dobbs | 1064156 | 9 | 01/05/2010 | Customer Dispute | Denied | $15,989.30 | $0.00 | See FINRA Report |
| William Dale Dobbs | 1064156 | 9 | 12/11/2009 | Customer Dispute | Denied | $16,856.60 | $0.00 | See FINRA Report |
| Orion Kelly Willis | 4047415 | 2 | 10/16/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Gengo Nabeshima | 2630032 | 2 | 10/07/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Seyed Ahmad Hashemian | 1574079 | 13 | 10/02/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dana Evan Kellogg | 2496097 | 8 | 08/25/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Royce Kamuela Clark Yen | 1501850 | 1 | 08/17/2009 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Ralph Quintana | 2284803 | 6 | 08/14/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |