TONY A. KASSAEI is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 17875 VON KARMAN AVENUE, SUITE #150, IRVINE, CA, 92614.
TONY A. KASSAEI has worked at CENTAURUS FINANCIAL, INC. since October 27, 2015
Disclosure History
TONY A. KASSAEI has 4 Disclosure Event(s).
Date: May 23, 2017 Category: Judgment / Lien Judgment/Lien Amount: $31,395.00 Judgment/Lien Type: Tax Broker Comment: IRS WAS NOT SUPPOSED TO PLACE A LIEN, AS I AM ON A PAYMENT PLAN AND IN THE PROCESS OF REMOVAL.
Date: October 18, 2016 Category: Judgment / Lien Judgment/Lien Amount: $47,955.43 Judgment/Lien Type: Tax Broker Comment: IRS WAS NOT SUPPOSED TO PLACE A LIEN, AS I AM ON A PAYMENT PLAN AND IN THE PROCESS OF REMOVAL.
Date: February 15, 2011 Category: Customer Dispute Allegations: UNSUITABLE RECOMMENDATIONS, MISREPRESENTATION, NEGLIEGENCE, FRAUD AND BREACH OF FIDUCIARY DUTY. Settlement Amount: $84,000.00 Broker Comment: I VEHEMENTLY DENY ALL ALLEGATIONS. NO FINES OR PENALTIES WERE IMPOSED BY FINRA OR OTHER REGULATORY AGENCIES.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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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