Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Galen Kopman (Kopman), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kopman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 30, 2020.
During the period 2014 through September 2016, the customer alleges that the Registered Representative invested his accounts in unsuitable, high-risk and illiquid investments.