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Category: Centaurus Financial

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Financial Advisor Patrick Hobert Disclosed Eleven Customer Complaints

Patrick Hobert (CRD#: 805680) is a registered Broker and Investment Advisor at Centaurus Financial, Inc. in Newport Beach, CA. Broker’s Background He entered the securities industry in 1975 and previously worked for Wedbush Morgan Securities, Inc.; Brookstreet Capital Management; Brookstreet Securities Corp.; FSC Securities Corp.; Corporate Benefit Securities, Inc.; Prudential-Bache Securities, Inc.; E.F. Hutton & […]

Financial Advisor Valentino Scott Has Disclosed Eight Customer Complaints

Valentino Scott (CRD#: 1497615) is a dually registered Broker and Investment Advisor at Centaurus Financial, Inc. in West Hills, CA. Broker’s Background He entered the securities industry in 1986 and previously worked for Montano Securities Corp.; Fortis Investors, Inc.; and Pruco Securities Corp. Current And Past Allegations Of Conduct Leading To Investment Loss According to […]

Former Financial Advisor Otto Bohon Has Five Customer Complaint Disclosures

Otto Bohon (CRD#: 5677597) is a previously dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2009 and previously worked for Centaurus Financial, Inc.; Wells Fargo Advisors, LLC; and Wells Fargo Investments, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Former Centaurus Financial Investment Advisor Galen Kopman the Subject of Pending Customer Complaint for Recommending Unsuitable Investments

Galen Kopman was an Investment Advisor at Centaurus Financial, Inc., in Vancouver, WA. He entered the securities industry in 1998 and previously worked for LPL Financial, LLC and Edward Jones. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2020, Galen Kopman was the subject of a customer complaint. […]

Former Centaurus Financial, Inc. Financial Advisor Jonathan Dudley Permanently Barred For Failing To Cooperate In FINRA Investigation Regarding Conversion Of Customer Funds

Jonathan Dudley (CRD No. 5413469) was a Financial Advisor associated with Centaurus Financial Inc. until his separation from the company on April 25, 2019. In the Uniform Termination Notice for Securities Industry Regulation (Form U5), it was noted that Jonathan Dudley was permitted to resign while “the subject of an internal review as a result […]

Former Centaurus Financial Inc. Advisor, Tony Kassaei, Barred By FINRA For Allegedly Participating in Undisclosed and Unapproved Private Securities Transactions

Tony Kassaei (CRD # 4375259) was a Financial Advisor at Centaurus Financial, Inc. in Irvine, CA. Tony Kassaei has been in the securities industry since 2001 and was registered at seven different brokerage firms including Summit Brokerage Services, Inc., J.P. Turner & Company LLC, and LPL Financial Corporation. According to publicly available records released by […]

The State of Colorado Has Commenced An Enforcement Action Against Centaurus Financial And Its Brokers Ricky “Rick” Mantei And Cindy Chiellini

The Wolper Law Firm has pending arbitration claims against JP Turner and Centaurus Financial, arising out of sales practices involving Ricky Mantei ak/a Rick Mantei and several Financial Advisors that are part of his team or at his branch office, including Cindy Chiellini a/k/a Cindy Lucille Porto Chiellini and Atul Makharia.  The pending claims involve […]

FINRA Files An Enforcement Action Against Former JP Turner And Current Centaurus Broker, Ricky “Rick” Mantei

Ricky Mantei a/k/a Rick Mantei (CRD # 1098981) was a former Financial Advisor at JP Turner & Co and is currently a Financial Advisor at Centaurus Financial, Inc. in Lexington, South Carolina.  Ricky Mantei a/k/a Rick Mantei is also a branch manager at Centaurus Financial.    Ricky Mantei a/k/a Rick Mantei has been in the securities […]

Centaurus Financial Advisor, Dana Hawkins, Has Three Customer Complaints

Dana M. Hawkins is a Financial Advisor at Centaurus Financial, Inc. in Lexington, South Carolina.  Dana Hawkins has been in the securities industry since 2011 and previously worked at J.P. Turner & Company, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Dana Hawkins is the subject of three pending […]