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 |
|---|---|---|---|---|---|---|---|---|
| James Ronald King | 269927 | 8 | 07/14/2004 | Customer Dispute | Closed-No Action | $22,519.00 | $0.00 | See FINRA Report |
| David L Crane | 1334510 | 6 | 07/14/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert James Gillette | 221815 | 1 | 07/09/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stuart Jay Spivak | 1883651 | 7 | 06/16/2004 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Christopher Charles Capezuto | 1348854 | 4 | 06/11/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carol Butler Holm | 1178157 | 20 | 04/09/2004 | Customer Dispute | Settled | $300.00 | $0.00 | See FINRA Report |
| Robert James Degroot | 1004871 | 2 | 03/30/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Seyed Ahmad Hashemian | 1574079 | 13 | 03/18/2004 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Lawrence Elliott Smith | 1139782 | 6 | 02/17/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Mohammad Javad Raja | 1058818 | 1 | 02/13/2004 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |