Options for Clients of Centaurus Financial, Inc. Broker James Appel Mr.

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There are options for clients of Centaurus Financial, Inc. broker James Appel Mr. (CRD# 6445389), who suffered investment losses due to misrepresentation. He has been registered with Centaurus Financial, Inc. in Santa Barbara, California, since 2015.

James Appel Mr. Customer Complaints

He has been the subject of two customer complaints between 2020 and 2023, one of which was closed without action, according to his CRD report:

May 2023. “In April 2019, July 2020 and October 2020, the customer alleges that the Registered Representative misrepresented the investment and breached his fiduciary duty.” The customer is seeking $150,000 in damages, and the case is currently pending. The complaint was regarding corporate debt losses. 

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, Centaurus Financial, Inc. may be liable for investment or other losses suffered by James Appel Mr.’s 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.

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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.