Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
Investors potentially incurred losses because of securities broker Carey Allen James [CRD: 1420763, Arroyo Grande, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James worked for Centaurus Financial Inc. beginning on August 19, 2004, as a securities broker and later as a financial advisor starting September 10, 2009. Investors are encouraged to review the information below to learn more about disclosures involving James and related client complaints.
Notably, a Centaurus Financial Inc. client filed FINRA Arbitration No. 23-01874 concerning Carey James. Mainly, the client alleged that James recommended illiquid investments that poorly performed. Because of this, the client allegedly incurred damages involving real estate securities. Therefore, on June 6, 2024, Centaurus Financial Inc. settled the matter by paying the client $20,000 in damages.
Additionally, a client of Centaurus Financial Inc. contested Carey James’s sales practices by filing FINRA Arbitration No. 22-02008. Allegedly, James made unsuitable recommendations. It appears that James caused the client to sustain damages linked to real estate securities. As a result, Centaurus Financial Inc. opted to settle the matter on March 6, 2024, by compensating the client in the amount of $35,000.
Also, a Centaurus Financial Inc. client filed FINRA Arbitration No. 22-01631 about Carey James. Primarily, the client alleged that James breached his fiduciary duty and recommended an unsuitable investment. For this reason, the client allegedly experienced damages relating to corporate bonds. Consequently, on December 18, 2023, Centaurus Financial Inc. settled this matter by paying the client $35,000 in damages.
Did you suffer any investment-related losses because of Carey James? Get in touch with Soreide Law Group online or call (888) 760-6552 to speak with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. James and the brokerage firms he worked for deny allegations of sales practice violations.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
A customer dispute that settled for $80,000 on July 16, 2026 is the newest entry on the BrokerCheck report of Stephen Kerutis (CRD 2345517). The clients in that matter alleged unsuitable recommendations, and Truist Investment Services is the firm on the disclosure.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
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