Centaurus Financial Inc.

06/23/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041676601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Centaurus Financial, Inc., Respondent CRD No. 30833 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Centaurus Financial, Inc. ("Centaurus" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

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08/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170969-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Centaurus Financial, Inc., Respondent Broker-Dealer CRD No.30833 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Centaurus Financial, Inc. (the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

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04/28/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009780901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Centaurus Financial, Inc., Respondent CRD No. 30833 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted

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07/15/2026: Between February 2016 and October 2019, Carroll violated FINRA Rules 2111, 2330,1122, and 2010 by recommending unsuitable variable annuity exchanges, which caused customers to incur surrender charges. For these and other violations, Carroll is suspended for 12 months and fined $10,000. Between February 2016 and December 2025, the firm’s supervisory system and written supervisory procedures were not reasonably designed to supervise certain exchanges and purchases of variable annuities. From February 2016 through December 2019, it failed to reasonably supervise certain of Carroll’s recommendations regarding the exchange of variable annuities. From June 30, 2020 to December 31, 2025, the firm failed to reasonably supervise two representatives and violated Regulation Best Interest (Reg BI) by failing to comply with Reg BI’s Conflict of Interest and Compliance Obligations regarding recommendations by the representatives to buy B-share variable annuities and enter into advisory agreements with the customers to ...

Reference 2019064499301data-portal.finra.orgfinra.org

01/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026915002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Centaurus Financial, Inc., Respondent Member Firm CRD No. 30833 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Centaurus Financial, Inc. ("Centaurus") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

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09/27/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Donnie E. Ingram CRD No. 1416971, and Centaurus Financial, Inc. CRD No. 30833, Respondents. Disciplinary Proceeding No. 2018057298701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between September 2016 and September 2018, respondent Donnie E. Ingram, a registered representative with respondent Centaurus Financial, Inc. and an investment advisor through his own SEC-registered investment advisory firm, Ingram Advisory Services, LLC (Ingram Advisory), recommended to 83 customers that they purchase 595 “standard version” Unit Investment Trusts (UITs) when there was an equivalent, lower cost “fee-based” UIT available. By recommending the standard version UITs instead of the fee-based UITs, Ingram caused his customers to incur initial and deferred sales charges that would have been waived had Ingram recommended the fee-based UITs.

05/05/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2018057298701 Hearing Officer--BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 5, 2023 Department of Enforcement, Complainant, v. Donnie E. Ingram CRD No. 1416971, and Centaurus Financial, Inc. CRD No. 30833, Respondents. INTRODUCTION Disciplinary Proceeding No. 2018057298701 was filed on September 27, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondents Donnie E. Ingram and Centaurus Financial, Inc. submitted an Offer of Settlement (Offer) to Complainant dated May 3, 2023. Pursuant to FINRA Rule 9270(e), the Complainant and the National Adjudicatory Council (NAC), a Review Subcommittee of the NAC, or the Office of Disciplinary Affairs (ODA) have accepted the uncontested Offer. Accordingly, this Order now is issued pursuant to FINRA Rule 9270(e)(3).

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05/02/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. #E022004017602 TO: Department of Enforcement NASD RE: Centaurus Financial, Inc. CRD No. 30833 pursuant to Rule 9216 of NASD Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC Is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based on the same factual

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