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Thomas Curtis Of Dawson James Securities Has 7 Customer Complaints For Alleged Broker Misconduct

Who is Thomas Curtis of Dawson James Securities?

Thomas Curtis (CRD #1402285) who is currently registered with Dawson James Securities and located in Dayton, Maryland is a subject of one of our many securities industry sales practice abuse investigations.

Thomas Curtis Customer Complaints

Thomas Curtis has been the subject of 7 customer complaints that we know about.  One of Thomas Curtis’ 7 customer complaints resulted in an arbitration award in favor of the investors. One of Thomas Curtis’ 7 customer complaints was settled in favor of investors. Five of Thomas Curtis’ customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Thomas Curtis

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Client alleged failure to execute and misrepresentation. The client continues to reiterate and expand his allegation of misrepresentation by Thomas Curtis.
  • Client alleged misrepresentation and unsuitable recommendation by Thomas Curtis.
  • Misrepresentation relating to their purchase of unregistered securities as part of a private placement offering allegedly by Thomas Curtis.
  • Unsuitable investment recommendations, misrepresentation allegedly made by Thomas Curtis.
  • The customers sent an email requesting the return of $30,000 for unrealized losses in ABIO based on the allegation that Thomas Curtis made exaggerated claims relative to potential performance when the security was purchased.

Thomas Curtis Red Flags & Your Rights As An Investor

Of course, Thomas Curtis did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Thomas Curtis at Dawson James Securities on alert to review carefully the activity and performance of their accounts and question whether Thomas Curtis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Dawson James Securities Due To Thomas Curtis

If you have questions about Dawson James Securities and/or Thomas Curtis and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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