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.
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.
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 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.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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