Brett Ewing is the Subject of an Alternative Investment Dispute

Brett Ewing (CRD #: 2904608), a broker registered with Centaurus Financial, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on March 20, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Dispute

On December 19, 2023, an investor alleged that Brett Ewing recommended an unsuitable, illiquid alternative investment. 

FINRA Rule 2111 – Unsuitable Illiquid Investments

FINRA Rule 2111 defines suitable investments as securities that fit an investor’s profile. Investor profiles have information on the investor’s age, risk tolerance, tax status, investing experience, and financial goals. Brokers must also consider the investment time horizon and the investor’s liquidity needs – illiquid investments often do not suit a client’s best interests. Investments that do not take these factors into account may be unsuitable. 

Investors who rely on brokers for recommendations may be able to recover losses from unsuitable investment recommendations by pursuing FINRA arbitration.

Background Information 

Brett Ewing has passed the following exams: 

• Series 66 Uniform Combined State Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination
• Series 6 Investment Company Products / Variable Contracts Representative Examination 
• Series 24 General Securities Principal Examination 

He is a registered broker in 25 states. 

During his 26 years of experience, he has registered with six brokerage firms: 

• Centaurus Financial (CRD #: 30833) 
• ING Financial Partners (CRD #: 2882) 
• Metropolitan Investment Securities (CRD #: 14146) 
• Interfirst Capital Corporation (CRD #: 7659) 
• San Clemente Securities (CRD #: 21895) 
• Princor Financial Services Corporation (CRD #: 1137) 

Kurta Law Can Help 

If you have worked with Brett Ewing and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.