Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 25, 2018 indicate that California-based Centaurus Financial broker/adviser Troy Tremblay has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tremblay (CRD# 4625407).
Troy Tremblay has spent 14 years in the securities industry and has been registered with Centaurus Financial in Santa Barbara and Westlake Village, California since 2003. He was previously registered with Washington Square Securities in Des Moines, Iowa (2003). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 28, 2003, and Series 7 (General Securities Representative Examination), which he obtained on May 15, 2003. He is a registered broker and investment adviser with nine US states and territories: California, Colorado, Florida, Hawaii, Kentucky, Pennsylvania, South Carolina, Virginia, and Washington.
According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and two customer complaints that were closed or denied.
In 2017 a customer alleged Troy Tremblay, while employed at Centaurus Financial, recommended an unsuitable investment and made misrepresentations of material facts from October 2009 until January 2017. The complaint settled for $60,000.
In 2017 a customer alleged Troy Tremblay, while employed at Centaurus Financial, breached his fiduciary duty, violated California securities law, committed fraud, breached contract, and misrepresented and omitted material facts. The customer is seeking $900,000 in damages in the pending complaint.
In 2015 a customer alleged Troy Tremblay, while employed at Centaurus Financial, made an unsuitable investment recommendation. The customer sought $50,000 in damages in the complaint, which was closed with no action taken.
In 2014 a customer alleged he, while employed at Centaurus Financial, breached his fiduciary duty, committed fraud, acted negligently, and breached contract. The complaint settled for $315,000.
If you or someone you know has lost money investing with Troy Tremblay, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.