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.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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