Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 23, 2018 indicate that New York-based Merrill Lynch broker/adviser Scott Curtis has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Curtis (CRD# 1235245).
Scott Curtis has spent 34 years in the securities industry and has been registered with Merrill Lynch in Great Neck, New York since 1984. He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 1, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 24, 1984; Series 7 (General Securities Representative Examination), which he obtained on February 18, 1984; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on April 29, 1997. He is a registered broker and investment adviser with 34 US states and territories.
According to his BrokerCheck report, he has received one pending customer complaint and three denied customer complaints.
In January 2018 a customer alleged Scott Curtis, while employed at Merrill Lynch, recommended unsuitable investments, misrepresented material facts, and omitted material facts related to investments in government bonds, mutual funds, and equity listed products. The customer is seeking $100,000 in damages in the pending complaint.
In 2002 a customer alleged Scott Curtis, while employed at Merrill Lynch, recommended an unsuitable investment in TXU Corporation common stock. The customer sought unspecified damages in the complaint, which was denied.
In 2002 a customer alleged Scott Curtis, while employed at Merrill Lynch, recommended an unsuitable purchase. The customer sought more than $19,600 in damages in the complaint, which was denied.
In 2002 a customer alleged he, while employed at Merrill Lynch, recommended unsuitable technology unit investment trusts. The customer sought $30,500 in damages in the complaint, which was denied.
If you have lost money investing with Scott Curtis, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.