SEC
Whistleblower
Attorneys
LANDMARK LAWSUIT FILED AGAINST SEC TO PROTECT ALL WHISTLEBLOWERS

June 02, 2021

Centaurus Financial, Inc.

Trading and Pricing

SANCTION AMOUNT: $1281396

Defendants: Centaurus Financial, Inc.

Respondent, a dually-registered investment adviser and broker-dealer, agreed to settle charges that, inter alia, it breached its fiduciary duty to clients, including by failing to disclose receipt of 12b-1 fees and revenue sharing arrangements in certain investments.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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