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Jose Centeno Subject of FINRA Investigation

Dec 21, 2022 FINRA Investigation

Jose Centeno (CRD #: 6368188), a broker registered with Wedbush Securities, was the subject of a recent FINRA investigation, according to his BrokerCheck record, accessed on December 7, 2022. If you have questions about his alleged conduct as a broker, read on.

FINRA Investigation

On October 28, 2022, FINRA entered a preliminary determination to recommend disciplinary action against Jose Centeno for alleged violation of FINRA Rule 2010.

A FINRA investigation allegedly found that, from August 2017 through September 2021, Jose Centeno falsified more than 900 firm documents as a member of the Canaccord Genuity trade compliance team in order to mislead his supervisors and firm into believing that he was reviewing daily exception reports as assigned.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Jose Centeno has passed the following exams:

  • Series 3 – National Commodity Futures Examination
  • Series 57TO – Securities Trader Exam
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

He has also worked for Canaccord Genuity (CRD#:1020) and BMO Capital Markets Corporation (CRD#:16686).

Kurta Law Can Help

If you worked with Jose Centeno and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.