Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Harworth (Harworth), currently associated with Centaurus Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harworth recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $60,000.00 on August 05, 2024.
In March 2019 and December 2019, the customers allege that the Registered Representative recommended unsuitable, high-risk, illiquid investments and breached his fiduciary duty.
