SURYA JOSHUA KANE METZLER is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 4695 MACARTHUR COURT, 11TH FLOOR, NEWPORT BEACH, CA, 92660.
SURYA JOSHUA KANE METZLER has worked at CENTAURUS FINANCIAL, INC. since November 01, 2011
Disclosure History
SURYA JOSHUA KANE METZLER has 8 Disclosure Event(s).
Date: February 02, 2015 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT SHE WAS NOT SUITABLE FOR THE INVESTMENTS PURCHASED IN 2007-2008. Damage Amount Requested: $10,000.00 Settlement Amount: $10,000.00 Broker Comment: "I CATEGORICALLY DENY THESE FALSE ALLEGATIONS. THE INVESTMENTS WERE SUITABLE AND IN PERFECT ACCORD WITH THE CLIENT'S FINANCIAL NEEDS AND INVESTMENT OBJECTIVES AT THE TIME OF THE INVESTMENT. MOREOVER, THE CLIENT WAS PROVIDED ALL OF THE NECESSARY DISCLOSURES, DOCUMENTS, AND UNDERSTOOD THE RISK FACTORS PRIOR TO INVESTING. WHILE I FIRMLY DENY THE ALLEGATIONS, I CHOSE TO SETTLE TO AVOID THE COST, TIME, AND OTHER HASSLES THAT WOULD HAVE BEEN INVOLVED IN A LONG, DRAWN OUT ARBITRATION. THE SETTLEMENT WAS CHEAPER IN BOTH TIME AND MONEY THAN I WOULD HAVE SPEND IN DEFENDING AGAINST THESE MERITLESS CLAIMS. THIS IS IN NO WAY AN ADMISSION OF GUILT."
Date: July 10, 2012 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THE INLAND WESTERN REIT PURCHASE OF JANUARY 2005 WAS TOO RISKY. Damage Amount Requested: $86,366.17 Broker Comment: REPRESENTATIVE CATEGORICALLY DENIES ANY WRONGDOING IN THIS MATTER. THE INVESTMENT WAS APPRORIATE WHEN IT WAS PURCHASED SEVEN YEARS AGO BASED ON THE CLIENT'S FINANCIAL SITUATION, LIQUIDITY NEEDS, INVESTMENT OBJECTIVE, INVESTMENT TIME HORIZON AND RISK TOLERANCE LEVEL. THIS INVESTMENT MADE UP A SMALL PORTION OF HIS OVERALL PORTFOLIO. THE CLIENT WAS FURNISHED WITH A PROSPECTUS AS WELL AS ALL THE DISCLOSURE INFORMATION ASSOCIATED WITH THIS INVESTMENT. THE CLIENT FULLY UNDERSTOOD THE RISKS OF THIS INVESTMENT.
Date: March 01, 2011 Category: Customer Dispute Allegations: THE CLIENT ALLEGED HER SIGNATURE ON THE ANNUITY PRODUCT DISCLOSURE FORM SIGNED IN SEPTEMBER 2004 WAS FORGED. Damage Amount Requested: $5,943.09 Broker Comment: SURYA METZLER DENIES THE ALLEGATION THAT HE FORGED THE CLIENTS SIGNATURE. IN ADDITION, HE STATES THAT SHE WAS INFORMED AND UNDERSTOOD THE PRODUCT AND THE RISKS ASSOCIATED THERETO.THIS MATTER IS REFERENCED IN DISCLOSURE # 1450650. THE ITEM IS REFLECTING THAT IT IS CLOSED. IN ADDITION, FINRA LOOKED INTO THE MATTER OF FORGERY AND CLOSED THEIR FILE WITH NO ACTION ON FEBRUARY 14, 2007.
Date: April 20, 2009 Category: Customer Dispute Allegations: THE CLIENT ALLEGED AN ANNUITY APPLICATION AND RELATED FORMS DATED 09/23/2004 DID NOT CONTAIN HIS AUTHENTIC SIGNATURE IN ADDITION TO A FINANCIAL ADVISORY SERVICE AGREEMENT DATED 08/05/2004. Damage Amount Requested: $6,250.67 Broker Comment: THE REPRESENTATIVE, SURYA METZLER, DENIES THE ALLEGATION. MR. METZLER STATED THAT HE HAS NOT FORGED ANY DOCUMENTS FOR THIS CUSTOMER OR ANY OTHER CUSTOMER. MR. METZLER WOULD LIKE AN OPPORTUNITY TO REFUTE THE ALLEGATION.
Date: July 26, 2006 Category: Customer Dispute Allegations: THE CLIENT ALLEGED SIGNATURES RELATED TO THE VARIABLE ANNUITY AND DISABILITY LIFE INSURANCE POLICY ARE FORGED. ADDITIONALLY, THE CLIENT STATED SHE DID NOT UNDERSTAND THE REQUIREMENTS AND PENALTIES AND DID NOT RECEIVE APPROPRIATE DISCLOSURE. LASTLY, THE CLIENT ALLEGED THE ANNUITY IRA WAS NOT IN HER BEST INTEREST. THE CLIENT REQUESTED A REFUND OF PREVIOUS SURRENDER CHARGE, REIMBURSEMENT FOR TAX PENALTIES, AND A WAIVER OF CURRENT SURRENDER CHARGES. Damage Amount Requested: $19,764.00 Broker Comment: MR. METZLER DENIES THE ALLEGATION OF FORGERY. ALL APPROPRIATE DISCLOSURES, INCLUDING SURRENDER, WERE DISCLOSED TO THE CLIENT. THE CLIENT SIGNED AN AFFIDAVIT OF FACT ATTESTING THE SIGNATURE ON THE ANNUITY APPLICATION SIGNED SEPTEMBER 27, 2004 WAS NOT HERS NOR DID SHE AUTHORIZE ANYONE TO SIGN ON HER BEHALF. THE CLIENT HAD PREVIOUSLY ALLEGED THE SIGNATURE ON THE DISABILITY INSURANCE POLICY ACKNOWLEDGEMENT OF RECEIPT DATED FEBRUARY 21, 2005 WAS NOT HER SIGNATURE. THE CLIENT WAS NOT FINANCIALLY HARMED AS A RESULT. THE FIRM FOUND THE ANNUITY WAS SUITABLE. THE ADVISOR STATED HE PROVIDED FULL AND FAIR DISCLOSURE, THE CLIENT STATED SHE DID NOT RECEIVE THE APPROPRIATE DISCLOSURE. THE FIRM OFFERED TO REFUND THE SURRENDER CHARGES ASSESSED ON THE PREVIOUS ANNUITY SURRENDER. THE CLIENT DID NOT ACCEPT THE FIRM'S OFFER.
Date: July 26, 2006 Category: Customer Dispute Allegations: THE CLIENT ALLEGED SIGNATURES RELATED TO THE VARIABLE ANNUITY AND DISABILITY LIFE INSURANCE POLICY ARE FORGED. ADDITIONALLY, THE CLIENT STATED SHE DID NOT UNDERSTAND THE REQUIREMENTS AND PENALTIES AND DID NOT RECEIVE APPROPRIATE DISCLOSURE. LASTLY, THE CLIENT ALLEGED THE ANNUITY IRA WAS NOT IN HER BEST INTEREST. THE CLIENT REQUESTED A REFUND OF PREVIOUS SURRENDER CHARGE, REIMBURSEMENT FOR TAX PENALTIES, AND A WAIVER OF CURRENT SURRENDER CHARGES. Damage Amount Requested: $19,764.00 Broker Comment: MR. METZLER DENIES THE ALLEGATION OF FORGERY. ALL APPROPRIATE DISCLOSURES, INCLUDING SURRENDER, WERE DISCLOSED TO THE CLIENT. THE CLIENT SIGNED AN AFFIDAVIT OF FACT ATTESTING THE SIGNATURE ON THE ANNUITY APPLICATION SIGNED SEPTEMBER 27, 2004 WAS NOT HERS NOR DID SHE AUTHORIZE ANYONE TO SIGN ON HER BEHALF. THE CLIENT HAD PREVIOUSLY ALLEGED THE SIGNATURE ON THE DISABILITY INSURANCE POLICY ACKNOWLEDGEMENT OF RECEIPT DATED FEBRUARY 21, 2005 WAS NOT HER SIGNATURE. THE CLIENT WAS NOT FINANCIALLY HARMED AS A RESULT. THE FIRM FOUND THE ANNUITY WAS SUITABLE. THE ADVISOR STATED HE PROVIDED FULL AND FAIR DISCLOSURE, THE CLIENT STATED SHE DID NOT RECEIVE THE APPROPRIATE DISCLOSURE. THE FIRM OFFERED TO REFUND THE SURRENDER CHARGES ASSESSED ON THE PREVIOUS ANNUITY SURRENDER. THE CLIENT DID NOT ACCEPT THE FIRM'S OFFER.
Date: February 04, 2006 Category: Employment Separation After Allegations Firm Name: AMERIPRISE FINANCIAL SERVICES, INC. Termination Type: Discharged Allegations: DURING THE COURSE OF OUR INITIAL INVESTIGATION, SIGNATURE DISCREPANCIES WERE DISCOVERED DURING A RANDOM CLIENT FILE REVIEW. SUBSEQUENTLY, A CLIENT COMPLETED AN AFFIDAVIT OF FORGERY ON 10/21/2005. Broker Comment: THESE ALLEGATIONS ARE ABOLUTELY FALSE. I NEVER SIGNED ANY DOCUMENTS FOR MY CLIENT. SUBSEQUENTLY THE CLIENT WROTE THE NASD TO RETRACT THIS AFFIDAVIT STATING HE WAS PRESSURED INTO SIGNING IT. THE NASD HAS DROPPED THIS MATTER SHOWING IT HAD NO VALIDITY.
Date: October 05, 2005 Category: Customer Dispute Allegations: THE CLIENTS ALLEGED THE SIGNATURES ON TWO ACCOUNT DOCUMENTS WERE NOT THEIRS. Damage Amount Requested: $5,000.00 Settlement Amount: $4,689.97
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for SURYA JOSHUA KANE METZLER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.