Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Arthur (Arthur), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Arthur 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 September 28, 2023.
The customer alleges that in December 2018, the Registered Representative recommended an unsuitable, speculative, high-risk, illiquid investment and breached his fiduciary duty.