Can I recover losses from investments with Centaurus Financial, Inc. broker Melissa Williams (CRD# 4298503)? She has been registered with Osaic Wealth, Inc. in Spokane, Washington, since 2024. She was registered with Centaurus Financial, Inc. in Spokane, Washington, from 2015 to 2024, Voya Financial Advisors, Inc. in Spokane, Washington, from 2013 to 2015, Voya Financial Advisors, Inc. in Spokane, Washington, from 2011 to 2015, and NYLife Securities LLC in Spokane, Washington, from 2002 to 2011, when he was terminated regarding, “prior to Ms. Williams’ resignation, she had been notified that she was subject to a fine and termination due to her failure to timely submit incoming correspondence and funds received logs as required by company policy. There were no securities violations or products involved.”
Melissa Williams Customer Complaints
She has been the subject of two customer complaints, one of which was closed without action, according to her CRD report:
July 2026. “The customers allege that the registered representative recommended and misrepresented unsuitable, and illiquid investments and breached her fiduciary duty. No specific dates for the alleged activity were identified in the statement of claim.” The customer is seeking $500,000 in damages, and the case is currently pending. The complaint was regarding corporate debt losses, and it 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 Melissa 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.
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