The following is a brief breakdown of publicly available information regarding Seth Grano CFPÂ®, his securities sales practices, and his FINRA regulatory history.
Seth Erik Grano is a FINRA Registered Representative who is currently employed by brokerage firm Centaurus Financial based in Anaheim, California. Over the years, he has had frequent changes of employers within the industry. Since 2000, Mr. Grano has been with ten (10) different firms in as many as eight (8) different states. Investors should be aware that Mr. Grano has at least two (2) customer disputes on his FINRA Broker Report (or CRD), and his current employer, Centaurus Financial, has numerous reportable events.
According to Mr. Grano's CRD, clients have alleged misrepresentation regarding investments as well as activities involving the following investment products (among others) which were alleged to be unsuitable: annuities, direct investment -- DDP and LP interest, equipment leasing, and real estate security. Centaurus Financial has been named in at least seven (7) regulatory events related to possible securities fraud violations, and the firm has been the subject of investigations conducted by FINRA, the State of Nevada Division of Securities, and the State of New York Insurance Department (among others). These regulatory investigations involved the following investment products (among others): municipal securities, insurance, and annuities. The firm has also been named in at least four (4) FINRA arbitration claims filed by investors. These claims involved various investment types and causes of action.
The foregoing is but a brief summary of Mr. Grano's and Centaurus Financial's FINRA Broker Reports. To access Centaurus Financial's full CRD, you can visit http://brokercheck.finra.org and search for Seth Erik Grano.
If you have any questions about investments you made with either Mr. Grano or Centaurus Financial, or if you believe that you have been the victim of a securities fraud, a securities attorney may be able to help. Securities attorneys regularly represent clients using a contingency fee arrangement where the only attorneys fee paid is a percentage of monies recovered for the client.
Copyright Â© 2010 by The White Law Group, LLC All rights reserved.
A large majority of information in this report has been reproduced and may be copied for personal use and non-commercial distribution. All copies must include this copyright statement: Copyright Â© 2010 by The White Law Group, LLC All rights reserved.
Review about: Investment Portfolio.