Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Currie (Currie), currently associated with Goldman Sachs & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Currie recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $140,000.00 on May 03, 2023.
The client alleged that the representative’s May 2021 recommendation to sell certain securities and invest the proceeds into a tax advantaged fund was not suitable, as they allege it did not meet their tax objectives.