Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harold Martek (Martek), previously associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Martek 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 $150,000.00 on June 30, 2021.
The customers allege that the Registered Representative over concentrated the customer’s account(s) in unsuitable and illiquid investments. No dates are provided within the Statement of Claim.