Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
Investors may have incurred losses due to securities broker Stuart Jay Spivak [CRD: 1883651, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Spivak joined Centaurus Financial Inc. on May 29, 2008, as a securities broker and on June 16, 2008, as a financial advisor. Keep reading to understand more about the disclosures involving Spivak and the claims made by clients regarding his investment recommendations.
In addition, a client of Centaurus Financial Inc. took aim at Stuart Spivak’s sales practices, based on a complaint dated May 14, 2024. Mainly, the client alleged that Spivak breached his fiduciary duty and made unsuitable recommendations. It appears that Spivak allegedly caused the client to sustain damages linked to high-risk, illiquid products such as real estate securities and direct investments. Consequently, the client sought compensation from Centaurus Financial Inc. or Spivak in the amount of $150,000.00 in this matter. This case resulted in a $27,000.00 settlement.
Additionally, a client of Centaurus Financial Inc. contested Stuart Spivak’s sales practices, based on a complaint dated September 15, 2011. Allegedly, Spivak made unsuitable recommendations resulting in lost opportunities. It appears that Spivak allegedly caused the client to sustain damages connected to mutual funds and real estate securities. Therefore, the client sought compensation from Centaurus Financial Inc. or Spivak in the amount of $121,753.00 in this matter. The firm closed this complaint without a resolution.
Also, a client of Centaurus Financial Inc. disputed Stuart Spivak’s sales practices, based on a complaint dated July 22, 2011. Supposedly, Spivak made misrepresentations. It appears that Spivak allegedly caused the client to sustain damages linked to life insurance products. Consequently, the client sought compensation from Centaurus Financial Inc. or Spivak in the amount of $15,000.00 in this matter. The firm closed this matter without a resolution.
Do you have concerns or questions regarding investments you made with Stuart Spivak? If so, contact Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney concerning a potential recovery. For years, Soreide Law Group has helped to recoup losses for investors throughout the country. Also, the firm handles cases on a contingency fee basis and advances the costs. Spivak and brokerage firms Spivak worked for deny accusations of sales practice violations.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
A customer dispute that settled for $80,000 on July 16, 2026 is the newest entry on the BrokerCheck report of Stephen Kerutis (CRD 2345517). The clients in that matter alleged unsuitable recommendations, and Truist Investment Services is the firm on the disclosure.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
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