Last Updated: September 2025 — Santa Barbara, CA
Here’s what you need to know about Santa Barbara, CA stockbroker James M. Appel:
- Name: James Martin Appel
- Current Employer: Centaurus Financial, Inc. (CRD# 30833) — registered representative since 2015; investment adviser representative since 2015
- Other Business Affiliations: Tremblay Financial Services
- CRD number: 6445389
- Stockbroker / Financial Advisor. Yes
- Can Broker be Sued in FINRA: Yes
- Highest Award or Settlement: $45,000
If you’ve sustained damages from Mr. Appel, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Jim Appel As Your Stockbroker?
FINRA Arbitration (Filed May 2023 | Case No. 23-01282): A customer alleged that in April 2019, July 2020, and October 2020 Jim Appel misrepresented a corporate debt investment and breached his fiduciary duty while at Centaurus Financial, Inc. The matter settled in September 2024 for $45,000, Product type identified as Corporate Debt.
Allegations of Broker Misconduct Against JimAppel
- Misrepresentation / Omission of Material Facts — may implicate FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices) and FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) when a broker’s communications or conduct are misleading.
- Breach of Fiduciary Duty
- Unsuitable Recommendations — allegations about risk and product selection may implicate FINRA Rule 2111 (Suitability), requiring a reasonable basis and customer-specific suitability for each recommendation.
Recover Your Investment Losses Now With Rex Securities Law
Other investigations of Centaurus Financial brokers
If you have suffered investment losses in an account handled by James Martin Appel, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.