Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that Maryland-based Dawson James Securities broker Thomas Curtis has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Curtis (CRD# 1402285).
Thomas Curtis has spent 29 years in the securities industry and has been registered with Dawson James Securities in Columbia, Maryland since 2008. Previous registrations include Spencer Edwards in Centennial, Colorado (2007-2008); Moors & Cabot Financial Advisors in Dayton, Maryland (2005); Moors & Cabot in Dayton, Maryland (1999-2005); Schneider Securities in Denver, Colorado (1995-1997); Baraban Securities in Los Angeles, California (1994-1995); Tamaron Investments in Englewood, Colorado (1992-1994); JW Gant & Associates (1987-1992); and Michelin & Company (1985-1987). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 2, 1985; Series 7 (General Securities Representative Examination), which he obtained on August 17, 1985; Series 4 (Registered Options Principal Examination), which he obtained on November 30, 1987; and Series 24 (General Securities Principal Examination), which he obtained on November 10, 1985. He is a registered broker with 35 US states and territories and with two self-regulatory organizations: FINRA and the Nasdaq Stock Market.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.
In August 2017 a customer alleged Thomas Curtis, while employed at Dawson James Securities, made unsuitable investment recommendations and misrepresented material facts related to an investment. The customer is seeking $4,952,610 in damages in the pending complaint.
In 2015 a party of customers alleged Thomas Curtis, while employed at Dawson James Securities, made misrepresentations of material facts relating to their purchase of unregistered securities as part of a private placement investment. The complaint settled for $60,000.
In 2015 a customer alleged Thomas Curtis, while employed at Dawson James, failed to execute orders and misrepresented material facts. The customer sought damages in excess of $100,000 in the complaint, which was denied.
In 1996 a customer alleged he participated in unspecific misconduct while employed at Tamaron Investments. The complaint, from which he was dropped, resulted in an award to the customer of $12,500.
If you have lost money investing with Thomas Curtis, you may be entitled to recoup your losses. Call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect a recovery. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.