Keith Curtis, Aegis Advisor, Barred by FINRA

Keith Curtis was sanctioned and banned by FINRA in connection with alleged rules violations. Curtis has had his BrokerCheck updated with the FINRA sanction. He was last registered as a brokerage and investment advisor at Aegis Capital. The sanction is a result of Curtis refusing to give FINRA on-the record testimony during an investigation regarding his possible conversion of funds.

FINRA rule 8210 allows FINRA the authority to request that individuals within its jurisdiction provide testimony in respect of matters under investigation. It also states that individuals cannot fail to provide the information or testimonies requested by this rule. Curtis refused to comply and was permanently banned from working for any member firm.

Curtis’ BrokerCheck report includes a criminal charge pending against him in addition to the FINRA sanctions. The charge was filed in the Florida Circuit Court of the Twelfth Judicial Circuit and alleges one count of “Larceny Grand Theft 10k less than 20k.” Curtis has denied the charge.

According to FINRA records, Keith Curtis is a 17-year veteran of the securities industry. He was previously registered at several firms before joining Aegis Capital. These included Gunnallen Financial and Morgan Stanley & Company. Curtis has successfully passed six securities qualifying exams. These include the General Securities Principal Examination (GSPE), Investment Company Products/Variable Contracts Representative Examination (ICPR), General Securities Representative Examination (GSRE), Futures Managed Funds Examination (FMFE), Securities Industry Essentials Examination and Uniform Combined State Law Examination.

Curtis’ actions had a major impact on the investors. His refusal to testify and the FINRA sanction that followed raises doubts about potential fund conversion. Investors are concerned about their financial advisor’s trustworthiness and integrity, as they also worry about their investments.

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Curtis’ FINRA violations also demonstrate the importance of regulation in the financial sector. FINRA rule 2010, which Curtis has been found to have broken, requires those under FINRA’s jurisdiction to adhere to high standards for commercial honor as well as just and fair principles of trading in their conduct of business. Curtis did not meet these standards by refusing to testify, which cast doubt on the ethical practices and professionalism of his business.

Investors must always be cautious when choosing a financial advisor. Investors can make informed decisions by conducting thorough research and doing due diligence. This includes reviewing the advisor’s regulatory and disciplinary records. Working with advisors that prioritize transparency, client interest, and compliance is essential.

Final thoughts: The recent FINRA sanction against former Tampa Financial Advisor Keith Curtis and the pending criminal case against him raise concerns over potential misconduct and impact on investors. The violations of FINRA’s rules show the importance of regulation and caution for investors when choosing a financial adviser. Investors can protect their investments and themselves by staying informed and doing thorough research.

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