Keith Curtis Barred by FINRA Following Allegations of Larceny
Keith Curtis (CRD #: 4799755) has been barred by FINRA following allegations of criminal conduct. This bar appears on his BrokerCheck record, accessed on February 14, 2024. Keep reading if you have concerns regarding his alleged larceny.
FINRA Bar
On November 16, 2023, FINRA barred Keith Curtis following allegations that he refused to appear for on-the-record testimony in connection with FINRA’s investigation into his potential conversion of funds.
FINRA Rule 8210
FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.
Criminal Charges
On October 21, 2020, Keith Curtis was charged with larceny grand theft for an amount between $10,000 and $20,000.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Theft and conversion violate this rule.
Background Information
Keith Curtis has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 31 Futures Managed Funds Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products/ Variable Contracts Representative Examination
- Series 24 General Securities Principal Examination
Keith Curtis has registered with the following firms since 2008:
- Aegis Capital Corp. (CRD #: 15007)
- JHS Capital Advisors (CRD #: 112097)
- Gunnallen Financial (CRD #: 17609)
Kurta Law Can Help
If you have worked with Keith Curtis and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.
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