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Kevin Curry Was Sanctioned by FINRA

Kevin Curry

Public records published by the Financial Industry Regulatory Authority (FINRA) on January 3, 2017 indicate that Petersen Investments Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Curry (CRD# 2394669).

Kevin Curry has spent 23 years in the securities industry and has been registered with Petersen Investments in New York, New York since 1998. Previous registrations include Gruntal & Company in New York, New York; Wayne Grayson Capital, which has since been expelled by FINRA, in Red Bank, New Jersey; and Lehman Brothers in New York, New York). He is a registered broker with sixteen US states and territories.

According to his BrokerCheck report, Kevin Curry has received two customer complaints and one FINRA sanction.

In December 2016 FINRA sanctioned Kevin Curry following allegations he “exercised discretion in one customer’s account without obtaining prior written authorization from the customer or written approval of the account as discretionary from his member firm.” He was issued a 10-days suspension and a fine of $5,000.

In 2013 a customer alleged Kevin Curry, while employed at Petersen Investments, made unauthorized trades, participated in fraud, failed to supervise, and churned investments. The complaint settled for $285,000.

In 2012 a customer alleged Kevin Curry, while employed at Petersen Investments, “used hard sales tactics” in in connection to an options purchase which he improperly described as “safe” and “risk-free.” The complaint settled in 2013 for $23,600.

If you or someone you know has a complaint regarding Kevin Curry, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.