Surya Joshua Kane Metzler of Newport Beach, California, a stockbroker registered with Centaurus Financial Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $29,800.00 in damages based upon allegations that Metzler made the unsuitable investment recommendation of speculative and risky bonds and breached his fiduciary duties to the customer when Metzler was associated with Centaurus Financial Inc. FINRA Arbitration No. 23-03497 (February 9, 2024).
FINRA Public Disclosure shows that Metzler is referenced in eight other customer initiated investment related disputes concerning Metzler’s conduct while associated with securities broker dealers.
Metzler is referenced in a customer initiated investment related complaint filed on July 10, 2012, in which the customer requested $86,366.17 in damages based upon allegations that Metzler unsuitable investment recommendation of REITs, given the customer’s risk tolerance when Metzler was associated with Ameriprise Financial Services Inc. This complaint was denied.
On February 15, 2015, a complaint involving Metzler’s conduct was settled for $10,000.00 in damages based upon allegations that Metzler made the unsuitable investment recommendation of stocks and promissory notes during the time that Metzler was associated with Capital Growth Resources.
Metzler is also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $67,025.41 in damages based upon allegations that Metzler recommended an unsuitable and illiquid corporate bond when Metzler was associated with Centaurus Financial Inc. FINRA Arbitration No. 22-01008 (December 28, 2023).
Metzler has been associated with Centaurus Financial Inc. in Newport Beach, California since November 1, 2011, as a stockbroker. He has been associated with Newport Wealth Advisors Inc. in Newport Beach, California from January 26, 2010, as an investment advisor representative.
