Truman Curtis Resigns from NYLIFE Securities Following Alleged Misconduct

Truman Curtis (CRD #: 1545087), a broker formerly registered with NYLIFE Securities, was permitted to resign following allegations of misconduct, according to his BrokerCheck record, accessed on June 8, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Resignation from NYLIFE Securities

On April 10, 2023, Truman Curtis was permitted to resign from NYLIFE Securities following allegations that he used his personal address for a client and failed to follow firm procedures concerning electronic application signatures.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Tax Lien and Bankruptcies

On December 5, 2019, Truman Curtis incurred a $40,485 tax lien.

On July 8 and March 18, 2015, Truman Curtis had bankruptcies dismissed.

Background Information

Truman Curtis has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

He previously worked for NYLIFE Securities (CRD#:5167).

Kurta Law Can Help

If you worked with Truman Curtis and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.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.