TROY NICHOLAS TREMBLAY

TROY NICHOLAS TREMBLAY is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 3902 STATE STREET, SUITE #101, SANTA BARBARA, CA, 93105.

TROY NICHOLAS TREMBLAY has worked at CENTAURUS FINANCIAL, INC. since June 02, 2003

Disclosure History

TROY NICHOLAS TREMBLAY has 9 Disclosure Event(s).

Date: November 02, 2017
Category: Customer Dispute
Allegations: Alleged breach of fiduciary duty, violation of California's Securities Act, common law fraud, breach of contract, misrepresentations and omissions.
Damage Amount Requested: $900,000.00
Broker Comment: I vehemently deny any wrongdoing and assert that the customer's allegations are completely without merit. The Customer confirmed that they not only received the requisite investment documentation, but that they fully understood the characteristics of the investments and its content. The investments about which they complained were suitable and were recommended based on the customer's objectives, goals and financial circumstances and were offered only after the customer's review of all material documentation related to the investment. At all times, I put the customer's interest first and I will vigorously defend this matter to the fullest extent of the law.

Date: January 12, 2017
Category: Customer Dispute
Allegations: Unsuitable investment and misrepresentation from 10/2009 to 01/2017.
Damage Amount Requested: $200,000.00
Settlement Amount: $60,000.00
Broker Comment: I vehemently deny any wrongdoing and assert that the customer's allegations are completely without merit. The customer confirmed in writing that they not only received the requisite investment documentation, but that they understood its content. The investments about which they complained were recommended based on the customer's objectives, goals and financial circumstances and were offered only after the customer's review of all material documentation related to the investment. At all times, I put the customer's interest first and I will vigorously defend this matter to the fullest extent of the law.

Date: November 03, 2015
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT THE INVESTMENT PUBCHASED IN 2010 WAS NOT APPROPRIATE.
Damage Amount Requested: $50,000.00

Date: August 05, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $47,997.80
Judgment/Lien Type: Tax
Broker Comment: MAKING PAYMENTS

Date: May 14, 2014
Category: Customer Dispute
Allegations: ALLEGATIONS INCLUDE: 1)VIOLATIONS OF FEDERAL SECURITIES LAWS, 2)VIOLATIONS OF CALIFORNIA SECURITIES LAWS, 3)CALIFORNIA UNFAIR, UNLAWFUL, AND FRAUDULENT BUSINESS PRACTICES, 4)BREACH OF CONTRACT, 5)COMMON LAW FRAUD, 6) BREACH OF FIDUCIARY DUTY, AND 7)NEGLIGENCE IN THE INVESTMENT PURCHASES MADE IN 2006 AND 2007.
Damage Amount Requested: $932,810.00
Settlement Amount: $315,000.00

Date: May 08, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $43,280.84
Judgment/Lien Type: Tax

Date: February 07, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $59,670.74
Judgment/Lien Type: Tax

Date: January 08, 2014
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE REPRESENTATIVE DID NOT CONSULT WITH HIM BEFORE PURCHASING THE INVESTMENTS IN DECEMBER 2005.
Damage Amount Requested: $30,000.00

Date: September 21, 2012
Category: Financial
Type: SHORT SALE
Disposition: Satisfied/Released

More Information

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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