There are options for customers of Dawson James Securities, Inc. financial advisor Thomas Curtis (CRD# 1402285) who suffered investment losses. Curtis has been registered with Dawson James Securities, Inc. in Columbia, Maryland since 2008.
Curtis has been the subject of six customer complaints between 1996 and 2017, two of which were denied and one was dismissed, according to his CRD report. The recent complaints include:
- August 2017. “Unsuitable investment recommendations, misrepresentation.” The customer is seeking $4,952,610 in damages and the case is currently pending. The case is involving common and preferred stock.
- September 2015. “Misrepresentation relating to their purchase of unregistered securities as part of a private placement offering in December 2013.” The case was settled for $60,000,
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Dawson James Securities, Inc. may be liable for investment or other losses suffered by Curtis’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.