Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that Colorado-based UBS Financial Services broker/adviser Curtis Brown has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brown (CRD# 1087724).
Curtis Brown has spent 34 years in the securities industry and has been registered with UBS Financial Services in Colorado Springs and Breckenridge, California since 1990. He was previously registered with Merrill Lynch in New York, New York (1983-1990). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 13, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 11, 1983; Series 3 (National Commodity Futures Examination), which he obtained on February 21, 1991; Series 5 (Interest Rate Options Examination), which he obtained on January 26, 1983; Series 7 (General Securities Representative Examination), which he obtained on December 18, 1982; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on September 29, 1987. He is a registered broker and investment adviser with 29 US states and territories and with nine self-regulatory organizations: BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca, Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In December 2017 a customer alleged Curtis Brown, while employed at UBS Financial Services, breached his fiduciary duty and acted negligently in connection to an alleged failure to identify and prevent a “third party lottery scam.” The customer is seeking $761,650 in damages in the pending complaint.
In 1990 a customer alleged Curtis Brown, while employed at Merrill Lynch, breached his fiduciary duty and committed fraud. The complaint settled in 1991 for $385,000.
If you or someone you know has a complaint regarding Curtis Brown, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.