Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Wilson (Wilson), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $761,000.00 on June 04, 2024.
The complaint alleged that Mr. Wilson traded S&P 500 put options in this advisory account on or about September 30, 2022, that were inappropriate, unsuitable, without the proper disclosures, advice or authorizations.