Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Todd (Todd), previously associated with Centaurus Financial, Inc., has at least 15 disclosable events. These events include 13 customer complaints, 2 regulatory events, alleging that Todd 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 $84,000.00 on August 22, 2024.
The customer alleges that in December 2019, the Registered Representative recommended and misrepresented an unsuitable, illiquid investment.
