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Category Centaurus Financial

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

February 23, 2021

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

January 25, 2021

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

October 4, 2020

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

November 3, 2019

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…

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