The Securities and Exchange Commission said Monday that Centaurus Financial Inc., one of its branch managers and a registered rep had reached a $1 million settlement in connection with unsuitable ...

A former Centaurus Financial broker shuffled clients’ investments into a unit investment trust when more affordable options of the product were available, according to a settlement between the advisor ...

ANAHEIM, Calif.--(BUSINESS WIRE)--Centaurus Financial® was ranked as one of the top 40 independent broker/dealers based on gross revenue for the twelfth consecutive year according to InvestmentNews.

LPL is kicking off its last month of recruitment in 2024 by welcoming back a veteran advisor in Arizona. On Tuesday, LPL Financial announced that James Norris, a financial advisor and founder of ...

ANAHEIM, Calif., June 5, 2025 /PRNewswire/ -- Centaurus Financial, Inc. ranks No. 17 among independent broker/dealers in Financial Advisors' list of the top 40 in the United States. Centaurus has ...

A financial advisor on heightened supervision by his employer after a half dozen client complaints still managed to sell customers hundreds more products that hit them with extra fees, according to ...

Ron King, the CEO and chairman of Centaurus Financial, an independent broker/dealer and registered investment advisor in Anaheim, Calif., that has $10 billion in assets under administration, released ...

More than a year after the end of a controversial SEC self-reporting program, a midsize wealth manager that didn’t participate has settled the regulator’s case against it. Processing Content Centaurus ...

KlaymanToskes recently filed a FINRA arbitration claim (no. 23-00723) against Centaurus Financial and financial advisor Gregory J. Richards (CRD# 1339012), on the behalf of an investor who is seeking ...

Ebix, Inc., a leading international supplier of On-Demand software and E-commerce services to the insurance, financial, healthcare and e-learning industries announced that it has continued to expand ...