There are options for clients of Centaurus Financial, Inc. broker Carey James (CRD# 1420763) who suffered investment losses. He has been registered with Centaurus Financial, Inc. in Arroyo Grande, California since 2004.
Carey James Customer Complaints
He has been the subject of two customer complaints in 2022, according to his CRD report:
September 2022. “In or about 2005, the customer alleges that the Registered Representative improperly recommended unsuitable investments.” The customer is seeking $100,000 in damages and the case is currently pending. The complaint was regarding real estate security losses.
July 2022. “During the period between April 2019 through the present, the customers allege that the Registered Representative recommended an unsuitable investment and breached his fiduciary duty.” The customer is seeking $66,000 in damages and the case is currently pending. The complaint was regarding corporate debt.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, FIRM may be liable for investment or other losses suffered by Carey James’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.