Thomas Currie is the Subject of a Six-Figure Dispute
Thomas Currie (CRD #: 5465944), a broker registered with Goldman Sachs, is facing allegations that he recommended unsuitable investments. This is according to his BrokerCheck record, accessed on July 31, 2023. Keep reading for more detail.
On May 3, 2023, an investor alleged that Thomas Currie recommended that he sell securities and invest the proceeds into a tax-advantaged fund was not suitable, as they allege it did not meet their tax objectives. The investor is seeking $140,000.
FINRA Rule 2111
FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s profile. An investor’s profile contains information on their tax status.
The profile also contains information on the following investor characteristics:
- Financial goals
- Risk tolerance
- Time horizon (i.e., how long the investor plans to hold the investment)
- Investing experience
Investors who believe their losses are the result of unsuitable investment recommendations may be able to recover their funds by seeking out FINRA arbitration.
Thomas Currie has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Series 3 National Commodity Futures Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
He is a registered broker in 23 states and is a registered investment adviser in New York and Texas.
Thomas Currie has registered with the following firms:
- Goldman Sachs & Co. (CRD #: 361)
- Goldman Sachs Ayco Personal Financial Management (CRD #: 106693)
- Mercer Allied Company (CRD #: 37404)
Kurta Law Can Help
If you worked with Thomas Currie and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.