Keith Curtis Gets Barred From Industry Following FINRA Investigation

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Keith Michael Curtis [CRD: 4798755, Tampa, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Keith Curtis worked for Aegis Capital Corp. from June 17, 2015, to January 3, 2022. Keep reading to learn more about Keith Curtis's disclosures.

FINRA Barred Curtis For Refusal To Testify

Specifically, on November 16, 2023, FINRA issued Case: 2020068885901 sanctioning Keith Curtis. Notably, FINRA alleged that Curtis refused to appear for testimony requested pursuant to FINRA Rule 8210.

Investigation Concerned Keth Curtis’ Potential Misuse Of Funds

FINRA’s investigation into Curtis stemmed from an investigation into his potential conversion of funds. Basically, conversion is a serious accusation within the financial industry that involves wrongfully taking or otherwise misusing an investor’s money. Despite being requested by FINRA on November 10, 2023, to testify regarding the matter, Curtis, through an email on November 14, 2023, acknowledged his receipt of the request but declared his intention not to appear for testimony at any time. This refusal led to the imposition of a bar, effectively ending his ability to associate with any FINRA member in any capacity.

Did You Sustain Losses Because Of Keith Curtis?

Did you experience losses because of Keith Curtis? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has assisted hundreds of clients throughout the country, works on a contingency fee basis, and advances all costs. Curtis and brokerage firms Aegis Capital Corp. deny accusations of sales practice violations.