Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Saunders (Saunders), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Saunders 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 $97,500.00 on May 27, 2025.
The customers allege that the Registered Representative recommended an unsuitable, high-risk, complex, illiquid investment. No specific dates for the alleged activity were identified in the Statement of Claim.