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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Carlos Nieves | 2794262 | 4 | 09/07/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Victoria Lee Artel | 1216175 | 2 | 08/17/2005 | Customer Dispute | Denied | $77,249.00 | $0.00 | See FINRA Report |
| George Reynolds Howard | 2958866 | 5 | 08/16/2005 | Customer Dispute | Settled | $116,000.00 | $0.00 | See FINRA Report |
| Timothy Patrick Sweeney | 2669172 | 2 | 07/05/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Allen Dean Poe | 1897712 | 3 | 06/10/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carol Butler Holm | 1178157 | 20 | 05/25/2005 | Customer Dispute | Denied | $16,682.60 | $0.00 | See FINRA Report |
| John Calderwood Starke | 3154774 | 8 | 05/13/2005 | Customer Dispute | Settled | $387,000.00 | $0.00 | See FINRA Report |
| William Seiji Yee | 2814898 | 2 | 04/26/2005 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Frederick Wilson Polatty | 3004626 | 1 | 04/01/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William G. Rowett | 5118940 | 1 | 03/30/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |