Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Nelson (Nelson), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 07, 2020.
Erroneous disclosure of commissions and fees amount in 2014 & 2015.