Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Phillips (Phillips), currently associated with Centaurus Financial, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Phillips 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 $68,000.00 on April 22, 2024.
The customer alleges that in May 2019, the Registered Representative recommended an unsuitable, high-risk, investment and breached his fiduciary duty.