Donnie E. Ingram

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).

Reference 2018057298701data-portal.finra.orgdata-portal.finra.orgfinra.org