Jonathan Dudley, formerly with Centaurus Financial, Barred by FINRA
Have you lost money with financial advisor Jonathan Dudley? We are looking into allegations made about Jonathan H. Dudley from Atlanta, Georgia. FINRA (the Financial Industry Regulatory Authority) barred Jonathan Dudley from the securities industry. FINRA alleged that Jonathan Dudley failed to respond to its investigation. FINRA was investigating Dudley regarding allegations that he sold investments that were not authorized by his brokerage firm, Centaurus Financial.
Jonathan Dudley was a financial advisor and registered representative of Centaurus Financial from April 2018 to April 2019. He was also with Investacorp from December 2017 to April 2018. He worked in branch offices in Atlanta and Stone Mountain, Georgia. Dudley also owns and operates JAE Financial Group and J Dudley Group, LLC.
Brokerage firms like Centaurus Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Phoenix, Arizona; Seattle, Washington; Denver, Colorado; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout Georgia. Our attorneys have represented over one thousand investors against many brokerage firms in the past.