MARK JOHN WILLIAMS

MARK JOHN WILLIAMS is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 2600 GARDEN ROAD, SUITE #410, MONTEREY, CA, 93940.

MARK JOHN WILLIAMS has worked at CENTAURUS FINANCIAL, INC. since November 03, 2015

Disclosure History

MARK JOHN WILLIAMS has 2 Disclosure Event(s).

Date: November 13, 2014
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION, UNSUITABILITY, VIOLATION OF COMMON LAW FRAUD AND BREACH OF FIDUCIARY DUTY.
Damage Amount Requested: $55,000.00
Settlement Amount: $25,000.00
Broker Comment: THERE WAS NO MERIT WITH RESPECT TO THE CLIENT'S ALLEGATIONS. I WAS NOT THE CLIENT'S ADVISOR AT THE TIME OF THE RECOMMENDATION, BUT WAS HANDED THE COMPLAINT. THE COMPLAINT WAS SETTLED WITHOUT ANY ADMISSION OF ANY WRONG DOING. I MADE NO CONTRIBUTION TO THE SETTLEMENT. COMPLAINT WAS SETTLED BY THE FIRM'S COUNSEL TO AVOID ADDITIONAL LEGAL COSTS.

Date: August 24, 2010
Category: Customer Dispute
Allegations: MISREPRESENTATION, UNSUITABLE RECOMMENDATIONS, NEGLIGENCE AND BREACH OF FIDUCIARY DUTY.
Damage Amount Requested: $100,000.00
Settlement Amount: $5,600.00
Broker Comment: AS OF 08/24/2012 COMPLAINT IS NO LONGER REPORTABLE AND SHOULD BE ARCHIVED. THERE WAS NO MERIT WITH RESPECT TO THE CLIENT'S ALLEGATIONS. WITH ADVICE OF BUDGET COUNSEL, THE CASE WAS SETTLED TO AVOID ADDITIONAL LEGAL COSTS.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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