Curt Wilson Investigation
July 2023- Tulsa, OK
The FINRA records of Curtis “Curt” Wilson, a currently unregistered broker who was previously employed with Securities America , disclose settlement of customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 10/2020, a customer of his prior employer, BEAM Asset Management, alleged failure to execute trades in a timely manner. The case settled for $25,000.
In 3/2023, a customer of registered investment advisory firm, CreativeOne Wealth, alleged that Wilson’s option-based trading strategy was not suitable and that risks associated with options trading were not adequately disclosed. The case settled 7/2023 for $250,000.
Wilson discloses business affiliations with:
- Summit Investment Group
- Beam Asset Management
- LPL Financial
- ChangePath LLC
If you have losses in an account handled by Curtis “Curt” Wilson , contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney, at no cost to you.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900