FINRA fines Centaurus Financial, general securities rep
The Financial Industry Regulatory Authority (FINRA) has announced a settlement with
Centaurus Financial, Inc (CFI) and Patrick Michael Carroll.
Centaurus
SEC charges Centaurus Financial for unsuitable recommendations of VRSPs
Centaurus Financial, Ricky A. Mantei, and Atul Makharia agreed to settle charges in connection with unsuitable recommendations of VRSPs.
