Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Acker (Acker), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Acker 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 $500,000.00 on January 30, 2024.
The customer alleges that from December 2011 through November 2013, the Registered Representative recommended unsuitable investments and investment strategies in various illiquid alternative investments.