The U.S. Securities and Exchange Commission (SEC) has recently raised a serious allegation against Debbie Cavanaugh, a registered representative of Centaurus Financial, Inc. The allegation, currently pending, was made on 8/24/2023. It centers on a potential violation of Rule 151-1(a) of the Securities Exchange Act of 1934, otherwise known as Regulation Best Interest. Specifically, the […]

Investors are often faced with complex challenges and uncertainties, especially when it comes to allegations of malpractice by financial advisors. A recent case involving Joseph Jackson from CAPITAL INVESTMENT GROUP, INC. (CRD 14752) is a pertinent example. The allegation is currently pending and is related to a customer dispute involving GWG Holdings, which filed Chapter

The seriousness of an allegation against a registered representative can have far-reaching implications, especially for investors. Recently, the U.S. Securities and Exchange Commission (SEC) has alleged that Michael Hamilton, a broker and investment advisor currently associated with Centaurus Financial, Inc. (CRD 30833), may have violated Rule 151-1(a) of the Securities Exchange Act of 1934, known