MICHELLE ELISE ANTHONY

MICHELLE ELISE ANTHONY is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 1660 E. RIVER ROAD, SUITE #180, TUCSON, AZ, 85712.

MICHELLE ELISE ANTHONY has worked at CENTAURUS FINANCIAL, INC. since August 14, 2014

Disclosure History

MICHELLE ELISE ANTHONY has 4 Disclosure Event(s).

Date: August 08, 2014
Category: Employment Separation After Allegations
Firm Name: WELLS FARGO ADVISORS, LLC.
Termination Type: Permitted to Resign
Allegations: CONCERNS RELATING TO AN INACCURATE DOCUMENT EMPLOYEE PROVIDED TO A THIRD PARTY.
Broker Comment: I RESIGNED FROM WELLS FARGO ADVISORS ON AUGUST 8, 2014. THE STATEMENT THAT I WAS TERMINATED OR PERMITTED TO RESIGN IS EXPRESSLY DENIED AND I WILL ZEALOUSLY DEFEND THIS ERRONEOUS AND FALSE STATEMENT.

Date: June 17, 2014
Category: Customer Dispute
Allegations: CLIENT CLAIMS HER INVESTMENT IN FIRST TRUST PORTFOLIOS WAS UNSUITABLE FOR HER. (10/05/2012-04/25/2013)
Damage Amount Requested: $53,000.00
Broker Comment: I CATEGORICALLY DENY ANY WRONGDOING IN THIS MATTER. THE CLIENT INVESTED 5% OF HER LIQUID NET WORTH IN A UNIT INVESTMENT TRUST (UIT) AND INSISTED ON PURCHASING A MUNICIPAL UIT IN CONTRAVENTION OF MY ADVISE. THIS COMPLAINT IS CLEARLY BASELESS AND WITHOUT MERIT.

Date: January 24, 2014
Category: Customer Dispute
Allegations: SON WRITES IN ON BEHALF OF HIS MOTHER AND COMPLAINS THAT HER FINANCIAL ADVISOR DIRECTED HER TO SURRENDER HER ANNUITY CONTRACT WITHOUT FULLY UNDERSTANDING THE TAX RAMIFICATIONS OF HER RECOMMENDATION. (07/01/2011)
Damage Amount Requested: $48,124.00
Settlement Amount: $132,500.00
Broker Comment: BOTH THE CLIENT AND CLIENT'S SON WERE PRESENTED WITH OPTIONS FOR THE ANNUITY. CLIENT AND HER SON BOTH DECIDED TO SURRENDER THE ANNUITY. THE CLIENT STATED SHE WANTED TO TAKE FULL CASH VALUE OF THE ANNUITY INSTEAD OF CONTINUING ON WITH THE ANNUITY IN HER NAME. IN ADDITION, I RECOMMENDED TO THE CLIENT AND HER SON TO CONSULT A TAX ADVISOR BEFORE SHE SURRENDERS THE ANNUITY. BEFORE SURRENDERING THE ANNUITY, THE CLIENT SIGNED A FORM THAT ADVISED OF POSSIBLE TAX IMPLICATIONS OF THE DISTRIBUTION.

Date: September 21, 2010
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION REGARDING MUTUAL FUND INVESTMENT. ACTIVITY DATES 7/20/2007-7/20/2007.
Damage Amount Requested: $12,000.00
Broker Comment: CLIENT FULLY UNDERSTOOD AND AGREED TO THE SALE OF HIS THREE STOCKS INTO A DIVERSIFIED MUTUAL FUND PORTFOLIO IN 2007. CLIENT HAS ALSO BEEN RECEIVING MONTHLY DIVIDENDS (SINCE 2007) THAT ARE BEING SENT TO HIS CHECKING ACCOUNT. CLIENT WAS FULLY AWARE OF ANY AND ALL TAX CONSEQUENCES ASSOCIATED WITH THE SALE OF HIS STOCK IN 2007. CLIENT DID NOT OBJECT TO HAVING TO PAY ANY CAPITAL GAINS WHEN SALE WAS DONE OR WHEN PAID TAXES IN 2008.

More Information

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

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