Gregory John Richards of Scottsdale Arizona a stockbroker currently registered with Centaurus Financial is referenced in a customer initiated investment related arbitration claim which was resolved for $23,000.00 in damages supported by allegations that unsuitable investment recommendations had been made to the customer concerning real estate security and fixed annuity products. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-03454 (Mar. 14, 2018).
FINRA Public Disclosure additionally confirms that on October 29, 2008, a customer initiated investment related complaint regarding Richards’ activities was settled for $11,129.00 in damages based upon accusations of unauthorized mutual fund and equity liquidations having been effected from the customer’s account while Richards was employed by Questar Capital Corporation.
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