Investors potentially incurred losses because of securities broker Brett Franklin Ewing [CRD: 2904608, Palm Coast, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ewing has been registered with Centaurus Financial Inc. since July 9, 2007, and he has been registered there as a financial advisor since January 17, 2008. Read on to learn more about Ewing’s disclosures.
Notably, a Centaurus Financial client filed FINRA Arbitration No. 23-03450 about Brett Ewing. Primarily, the client alleged that Ewing made unsuitable recommendations about illiquid investments. Because of this, the client allegedly sustained damages related to real estate securities. Therefore, on December 23, 2024, Centaurus Financial settled this matter by paying the client $9,500 in damages.
Also, a client of Centaurus Financial disputed Brett Ewing’s sales practices, according to a complaint dated June 1, 2010. Allegedly, Ewing gave unsuitable advice. It appears that Ewing allegedly caused the client to sustain damages connected to variable annuities. Consequently, the client sought compensation from Centaurus Financial or Ewing in the amount of $58,446 in this matter. However, the firm denied this complaint.
Did you suffer any investment-related losses because of Brett Ewing? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, our securities attorneys work on a contingency fee basis and advance all costs. Ewing and brokerage firms Ewing worked for deny accusations of sales practice violations.
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Investors potentially incurred losses because of securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], and FINRA sanctioned him, according to disclosures on FINRA BrokerCheck. Brown worked for Northwestern Mutual Investment Services LLC, from March 17, 2014, to December 13, 2024. See below to learn more about Brown’s disclosures. FINRA Sanctioned Raymond Brown For Failure […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com