Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Peters (Peters), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Peters 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 $85,000.00 on November 03, 2023.
The customers allege that in December of 2020, the Registered Representative recommended unsuitable, complex, high-risk, speculative and illiquid investments and breached his fiduciary duty.