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The Florida Office of Financial Regulation is the state’s regulator regarding the securities industry. ... At SSEK Law Firm, we have represented thousands of investors and recovered many millions of dollars on their behalf over losses caused by: Misappropriation Broker ...
About Centaurus Financial Centaurus Financial, Inc. is an independent national broker-dealer with its main office in Anaheim, California. ... In 2022, Centaurus Financial has over 650 financial advisors and more than $10B in assets under management. ... Over the years, ...
While the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the California Department of Corporations (DOC), and even prosecutors can investigate your allegations against a brokerage firm or investment adviser, if you want to maximize your ...
When this happens, you may be able to sue for financial recovery. ... At Shepherd Smith Edwards and Kantas, we represent investors seeking to recoup damages related to: Financial product failures Stockbroker fraud Negligence Overconcentration Unsuitability Investment adviser misappropriation Misrepresentations ...