Investors might have sustained losses due to securities broker Surya Metzler [CRD: 4558292, Newport Beach, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Surya Metzler has worked for Centaurus Financial Inc. since November 1, 2011, and Newport Wealth Advisors Inc. since January 9, 2018. Prior to this, he was also registered with Newport Wealth Advisors Inc. from January 26, 2010, to December 31, 2017. Keep reading to learn more about the securities broker’s disclosures.
Evidently, a Centaurus Financial Inc. client filed FINRA Arbitration No. 23-03497 about Surya Metzler. Supposedly, Metzler recommended speculative, illiquid investments and breached his fiduciary duty. Because of this, the client allegedly sustained damages on corporate bonds. Therefore, on February 9, 2024, Centaurus Financial Inc. settled this matter by paying the client $29,800 in damages.
Also, a Centaurus Financial Inc. client filed FINRA Arbitration No. 22-01008 about Surya Metzler. Specifically, the client alleged that Metzler made unsuitable recommendations of a high-risk and illiquid investment. Because of this, the client allegedly sustained damages on corporate bonds. Therefore, on December 28, 2023, Centaurus Financial Inc. settled this matter by paying the client $67,025.41 in damages.
Notably, a client of Capital Growth Resources contested Surya Metzler’s sales practices, according to a complaint. Allegedly, Metzler made unsuitable recommendations of promissory notes and stocks. Therefore, Capital Growth Resources opted to settle the matter on February 15, 2015, by compensating the client in the amount of $10,000.
Specifically, on June 21, 2012, an Ameriprise Financial Services Inc. client filed a complaint about Surya Metzler. Supposedly, Metzler recommended an investment that was too risky. Because of this, the client allegedly sustained damages on real estate securities. Therefore, the client requested $86,366.17 in compensation from Ameriprise Financial Services Inc. or Metzler. However, the complaint was denied on September 21, 2012.
Seeking more information about Surya Metzler? If you incurred losses, get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer concerning a potential recovery. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Metzler and brokerage firms Metzler worked for deny accusations of sales practice violations.
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