Center Street Securities

There are Recent Customer Complaints with Broker Sean Kelly in Firm Center Street Securities, INC.

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Kelly (Kelly), previously associated with Center Street Securities, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Kelly 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 $160,000.00 on November 24, 2021.

Unsuitable, misrepresentations, breach of fiduciary duty , failure to supervise

There are Recent Customer Complaints with Broker Michael Ecker in Firm Center Street Securities, INC.

December 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Ecker (Ecker), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ecker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 15, 2025.

Claimants initiated an arbitration concerning issues related to the sale of REIT and LP investments, which had previously been dismissed in an earlier arbitration in 2023.

There are Recent Customer Complaints with Broker David Escarcega in Firm Center Street Securities, INC.

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Escarcega (Escarcega), previously associated with Center Street Securities, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Escarcega 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 $383,014.45 on June 13, 2022.

Beginning in 2012 client alleges that registered representative recommended an unsuitable investment and in 2019 recommended the client renew said investment.

Broker William Heftel in Center Street Securities, INC. Firm Has Customer Complaint

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Heftel (Heftel), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Heftel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on August 23, 2022.

Client alleges registered representative recommended an unsuitable product.

There are Recent Customer Complaints with Broker Adam Wright in Firm Center Street Securities, INC.

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Wright (Wright), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $25,000.00 on November 21, 2022.

Client alleges registered representative recommended an unsuitable investment.

There are Recent Customer Complaints with Broker Glenn Romer in Firm Center Street Securities, INC.

September 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Romer (Romer), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Romer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on April 13, 2023.

Client alleges registered representative recommended unsuitable investment.

There are Recent Customer Complaints with Broker James Schrack in Firm Center Street Securities, INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Schrack (Schrack), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schrack recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $995,000.00 on May 01, 2023.

Client alleges registered representative recommended an unsuitable investment.

Broker James Saar in Center Street Securities, INC. Firm Has Customer Complaint

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Saar (Saar), previously associated with Center Street Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Saar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on July 03, 2023.

Client alleges registered representative recommended an unsuitable investment.

Broker Joseph Latour in Center Street Securities, INC. Firm Has Customer Complaint

August 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Latour (Latour), previously associated with Center Street Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Latour recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on July 06, 2023.

Client alleges the registered representative recommended an unsuitable investment.

Broker James Margraf in Center Street Securities, INC. Firm Has Customer Complaint

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Margraf (Margraf), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Margraf recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on August 08, 2023.

Client alleges registered representative recommended an unsuitable investment.