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James Martin Appel of Centaurus Financial Has A Customer Complaint for Alleged Broker Misconduct

Who is James M. Appel of Centaurus Financial?

James Appel (CRD #6445389) who is currently registered with Centaurus Financial and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to Centaurus Financial, James Appel was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

James Appel Customer Complaint

In his career, James Appel has been the subject of at least one customer complaint that we know about.  The allegations made in the FINRA reported customer complaint for investment losses were that James Appel misrepresented the risk associated with an investment recommendation.

There is currently one pending customer complaint filed against James Appel’s current employer Centaurus Financial for investment losses caused by his alleged misconduct.

James Appel Red Flags & Your Rights as An Investor

Of course, James Appel did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of James Appel at Centaurus Financial on alert to review carefully the activity and performance of their accounts and question whether James Appel has engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints at Centaurus Financial also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim to Recover Your Investment Losses at Centaurus Financial

If you have questions about Centaurus Financial and/or James Appeland the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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