Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Appel (Appel), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Appel 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 May 15, 2023.
In April 2019, July 2020 and October 2020, the customer alleges that the Registered Representative misrepresented the investment and breached his fiduciary duty.