Last Updated: January 2024 (Sarasota, FL)
Keith Curtis Investigation Summary
Here’s what you need to know about Sarasota, FL, stockbroker Keith Curtis:
- Name: Mr. Keith Michael Curtis
- Current Employer: FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
- DBA: LCM Capital Advisors
- Previous Firms: Aegis Capital Corp., JHS Captal Advisors
- Function: Stock Broker/ Financial Advisor
- Aliases: Michael Curtis
- Primary Location: Sarasota, FL
- CRD 4798755
- Can Michael Curtis be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
- Has pending criminal charge: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Keith Curtis As Your Stockbroker?
Michael Curtis was barred from the securities industry by FINRA in 11/2023. According to his FINRA record, Curtis consented to the sanction and to the entry of findings that he refused to appear for on the record testimony in connection with a regulatory investigation into his potential conversion of funds.
Michael Curtis discloses a pending criminal charge in Sarasota County where he is charged with a felony, violation of Florida Statute 812.014, Larceny Grand Theft.
Allegations of Broker Misconduct Against Keith Curtis
Securities regulators have alleged that Michael Curtis is guilty of the following wrongdoing:
- Failure to cooperate with a regulatory investigation into his potential conversion of funds.
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Michael Curtis, 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.
