Mark Williams Investigation
March 2023-Carmel by the Sea, CA
According to publicly available records Mark John Williams , a former Centaurus Financial Inc., broker who now works for Kingswood Capital Partners, discloses two pending customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In recently filed FINRA case #22-00706, a Centaurus Financial, Inc. customer (William’s prior employer), alleges that Williams recommended unsuitable, high-risk investments and breached his fiduciary duty. No specific damage amount is alleged. Customer requests a rescission of certain investments and compensatory damages that represent trading losses, lost opportunity, interest and cost of arbitration proceedings. The case is currently pending.
In FINRA case #22-00548, a Centaurus Financial, Inc. customer alleges that Williams made a poor recommendation of a speculative, high-risk and illiquid investment and seeks damages of $100,000. The case is currently pending.
Williams is currently registered with Kingswood Capital Partners. He was previously registered with Forta Financial Group. He is also a registered investment advisor with Financial Gravity Family Office Services Williams was employed by Centaurus Financial, Inc. from 11/2015-3/2021.
If you have losses in an account handled by Mark John Williams , contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Nationwide Representation
TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870