Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Royce Running (Running), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Running recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.
During the period November 2013 through May 2020, the customer alleges that the Registered Representative recommended unsuitable and illiquid investments.