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Centaurus Financial, Inc.

Centaurus Financial, Inc. (CRD #30833, Orange, California) received a censure and fine of $10,000, $5,000 of which was jointly and severally. According to the findings, the firm failed to file timely a report regarding events required to be disclosed pursuant to NASD Rule 3070(b) and a report concerning statistical and summary information relating to customer complaints pursuant to NASD Rule 3070(c). The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C02040029)

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