Last Updated: September 2023 (Dayton , MD)
Tom Curtis Investigation Summary
Here’s what you need to know about Dayton, MD, stockbroker Tom Curtis:
- Name: Mr. Thomas Russell Curtis
- Current Employer: Dawson James Securities
- Previous Firms: Spencer Edwards, Moors & Cabot Financial Advisors
- Function: Stock Broker/ Financial Advisor
- Aliases: Tom Curtis
- Primary Location: Dayton, MD
- CRD 1402285
- Can Tom Curtis be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement: $60,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Tom Curtis As Your Stockbroker?
Tom Curtis discloses 7 prior customer disputes on his FINRA records, including the following:
- In 11/2015 a customer of Dawson James Securities was paid $60,000 to resolve allegations that Tom Curtis made misrepresentations relating to their investment in a private placement.
- In 3/2019 a customer of Dawson James Securities alleged that Tom Curtis made misrepresentations and unsuitable recommendations resulting in damages of $4.9 million. The firm denied that claim and the client apparently did not pursue the matter further.
Allegations of Broker Misconduct Against Tom Curtis
Customers of Tom Curtis have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
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
Rex Securities Law Investment Fraud Attorney Investigates Dawson James Securities
If you have suffered investment losses in an account handled by Tom Curtis, contact us for a complimentary consultation with an experience 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.
