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Centaurus Financial Inc. Investment Attorney

The attorneys at Gana Weinstein LLP represent clients who have suffered financial losses due to misconduct by their financial advisors and brokerage firms, such as Centaurus Financial Inc. (Centaurus). Among the claims that may be brought on behalf of a typical client includebreach of fiduciary duty, false representations, and unsuitable investments. Our firm can analyze a client’s trading activity to determine the extent of the losses and provide a consultation on the options available.

Centaurus Financial, Inc. is a independent broker/dealer licensed to offer securities, investment advisory services and insurance products. Founded in 1992, Centaurus claims that it was formed with a singular focus – to provide unparalleled service, support, technology, and education to independent financial advisers. Centaurus claims that it is a leading independent broker/dealer providing a platform for over 600 financial advisers and 350 branch office locations across the country.

Centaurus – By the Numbers:

  • CRD# 30833
  • SEC# 8-45185
  • 9 Regulatory Events
  • 6 Customer Complaints
  • Total Revenues: $104 million – 2012
  • Account Assets: $1.9 billion – 2012
  • Number of Offices: 356
  • Representatives: 702 - 2012

Centaurus – In the News:

FINRA v Centaurus Financial, Inc. – The Financial Industry Regulatory Authority (FINRA) fined Centaurus Financial, Inc. $175,000 concerning allegations that the firm failed to protect certain confidential customer information. Centaurus was also ordered to provide notifications to affected customers and their brokers and to offer these customers one year of credit monitoring at no cost. FINRA found that from April 2006 to July 2007, the firm failed to ensure that it safeguarded confidential customer information through an improperly configured computer firewall, an ineffective username and password, and permitted unauthorized persons to access stored images of faxes that included confidential customer information, such as social security numbers, account numbers, dates of birth and other sensitive, personal and confidential data.

FINRA v. Ralph Saviano – The Financial Industry Regulatory Authority (FINRA) barred broker Ralph Saviano (Saviano) from the securities industry after the broker failed to respond to FINRA’s requests for information. FINRA alleged that Saviano failed to report tax liens, a civil judgment, and a customer complaint involving the misuse of funds. During a routine investigation of Centaurus, FINRA allegedly discovered information regarding certain undisclosed liens, judgments, and possible customer loans. In June 2012, Centaurus filed a tip with FINRA disclosing that a customer had provided Saviano with a $66,000 cashier’s check made payable to Saviano. The transactions with the customer concerned a possible misuse or conversion of funds.

Our attorneys has successfully represented hundreds of investors in their broker disputes with their advisor firms. Our consultations are free and we welcome all inquiries.

Client Reviews
Thank you Adam and all your colleagues for the professionalism and diligence in the final settlement of our securities fraud case. When a past law firm group turned our case down, you and your firm took on the case and we thank you for the great outcome. We would highly recommend your firm. Gloria K.
I will never forget how much you helped me by winning my case! I never thought I would see any money from my investment. I admire the way you fight for everyday people against big companies. Thank you so much! Myra W.
Adam is an outstanding lawyer. I have worked on several cases with Adam and look forward to working with him again in the future. Rob D. - Co-Counsel.
If you want an attorney that is easy to talk to and genuinely cares about your legal situation, contact Adam Gana. He helped me settle a difficult contract dispute. When you work with Adam, he makes you feel as if you are his top priority. He will call you regularly to stay on top of the situation and submits all necessary legal documentation in a timely manner. His writing is excellent, his demeanor professional, and his work exceptional. Nancy N.
Adam helped me recover money from my broker when I thought all was lost. My house was about to be foreclosed, and I lost everything. Adam came in and saved my life. Jean C.