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 |
|---|---|---|---|---|---|---|---|---|
| Carol Butler Holm | 1178157 | 20 | 10/17/2001 | Customer Dispute | Settled | $270,000.00 | $0.00 | See FINRA Report |
| Lawrence Elliott Smith | 1139782 | 6 | 09/27/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Jeanquart | 6593478 | 1 | 09/21/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carol Butler Holm | 1178157 | 20 | 09/17/2001 | Customer Dispute | Denied | $10,557.00 | $0.00 | See FINRA Report |
| Scott Douglas Phillips | 1311907 | 6 | 09/10/2001 | Customer Dispute | Settled | $925,000.00 | $0.00 | See FINRA Report |
| William Fuentes | 1330327 | 2 | 08/06/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kerry W Hough | 731839 | 15 | 07/05/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donna Louise Payne | 1007323 | 4 | 06/29/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ralph Cannon Williams | 805613 | 3 | 06/11/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kerry W Hough | 731839 | 15 | 05/24/2001 | Customer Dispute | Settled | $9,048.95 | $0.00 | See FINRA Report |