Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loris Rose (Rose), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rose 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 $25,000.00 on December 19, 2022.
During 2021, the customer alleges that the Registered Representative recommended a complex, high-risk and illiquid investment.