Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carey James (James), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that James recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on July 17, 2023.
During the period 2012 through 2018, the customers allege that the Registered Representative recommended illiquid investments that performed poorly.