Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kasey Davis (Davis), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $50,000.00 on May 03, 2024.
The customers allege that the Registered Representative recommended an unsuitable, high-risk, illiquid investment and breached her fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.