Stephen Eugene Winkelman Junior, of Pasadena, California, a stockbroker formerly registered with Centaurus Financial, Inc., was named in an Order issued by The State of Kansas Securities Commissioner which revoked Winkelman’s securities registration and instituted cease and desist sanctions against him based upon allegations that Winkelman falsified a customer’s consolidated financial statement and inflated values on the customer’s fixed annuities, stock, and real estate security products. Case No. 17E003/2015-6250 (Oct. 31, 2016).
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on June 17, 2014, a customer filed an investment related complaint involving Winkelman’s conduct, based upon allegations that Winkelman, while associated with US Allianz Securities, utilized account documentation containing unauthentic signatures of the customer.
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