Investors potentially experienced sales practice violations by securities broker James V. Peters (also known as Jim Peters) [CRD: 2665577, Costa Mesa, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Peters has worked for Centaurus Financial Inc. since May 7, 2012 as a broker and since May 22, 2012 as a financial advisor. Read on for a better understanding about the disclosures involving this securities broker.
Evidently, a Centaurus Financial Inc. client filed FINRA Arbitration No. 23-03209 about James Peters. Mainly, the client alleged that Peters made unsuitable recommendations, including complex, speculative, high-risk, and illiquid investments, and that he breached his fiduciary duty. For this reason, the client allegedly sustained damages connected to corporate bonds. As a result, on January 7, 2025, Centaurus Financial Inc. settled this matter by paying the client $35,000 in damages.
Particularly, a client of Centaurus Financial Inc. contested James Peters’ sales practices by filing FINRA Arbitration No. 22-01803. Allegedly, Peters made unsuitable recommendations involving illiquid investments. It appears that Peters allegedly caused the client to sustain damages linked to corporate bonds. Therefore, Centaurus Financial Inc. opted to settle the matter on October 17, 2023, by compensating the client in the amount of $35,000.
Do you need clarity on any investment losses relating to James Peters? You can contact Soreide Law Group at (888) 760-6552 or online and speak to a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Peters and brokerage firms Peters worked for deny any allegations of sales practice violations.
CLIFFORD RONALD REID (CLIFFORD R REID) was previously registered with REID RUDIGER LLC of New York, NY from 10/06/1999 - 04/30/2026. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, CLIFFORD R REID has 34 years of experience in the securities industry and was listed as a broker with 4 firms. Reid is […]
Investors might have sustained losses due to securities broker Elizabeth Florence Ortiz (also known as Elizabeth Barber, Betsy Barber, and Betsy Ortiz) [CRD: 6818113, Austin, Texas], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ortiz has worked for Charles Schwab Co. Inc. from December 11, 2017, to the present. Read on to […]
Investors potentially incurred losses because of securities broker James Anthony Medsker (also known as Jim Medsker) [CRD: 1294250, Dublin, Ohio], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Medsker worked for Wells Fargo Clearing Services LLC from October 26, 2018, to January 25, 2024. Investors are encouraged to continue reading to learn […]
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