Were you the victim of former Centaurus Financial, Inc. broker Mark Williams (CRD# 4061842) regarding corporate debt losses due to investment fraud? He has been registered with Kingswood Capital Partners, LLC in Carmel By The Sea, California since November 2021 and with Financial Gravity Family Office Services, LLC in Carmel, California since 2021. Previously, he was registered with Forta Financial Group, Inc. in Carmel, California from March to December 2021. Prior to that, he was registered with Centaurus Financial, Inc. in Carmel, California from 2015 to 2021.
Mark Williams Customer Complaints
He has been the subject of three customer complaints between 2019 and 2022, according to his CRD report:
April 2022. “During the period May 2019 through late 2021, the customer alleges that the Registered Representative recommended unsuitable, high-risk investments and breached his fiduciary duty.” The case is currently pending. The complaint was regarding corporate debt and took place while he was registered with Centaurus Financial, Inc., Forta Financial Group, Inc. and Financial Gravity Family Office Services, LLC.
March 2022. “In November 2019 and December 2020, the customer alleges that the Registered Representative made a poor recommendation of a speculative, high risk and illiquid investment.” The customer is seeking $100,000 in damages and the case is currently pending. The complaint was regarding corporate debt and took place while he was registered with Centaurus Financial, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Centaurus Financial, Inc. may be liable for investment or other losses suffered by Mark Williams’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.