Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Sutterfield (Sutterfield), currently associated with Centaurus Financial, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Sutterfield 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 $74,071.63 on October 01, 2024.
Registered Representative’s former Broker Dealer Wells Fargo Clearing Services, LLC alleges that, the Registered Representative has failed to pay the remaining amount owed under the Promissory Note.
