Curtis Ile, Financial Advisor Suspended from Securities Industry

Curtis Ile, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Curtis Ile CRD #4009787

Curtis Ile was a formerly licensed financial advisor with Ameritas Investment Corp and Sigma Financial Corporation. FINRA reports that Curtis Ile was suspended from the securities industry in June 2019.

According to FINRA: Curtis Ile consented to the sanction and to the entry of findings that he mismarked order tickets as unsolicited when the transactions were, in fact, solicited, thereby causing his member firm’s books and records to be inaccurate. The findings stated the Curtis Ile mismarked the order tickets because he believed that his firm would not have processed the transactions if they had been correctly marked as solicited. The findings also stated that Curtis Ile recommended over-the-counter (OTC) equity securities to customers without reviewing the current financial statements of the issuers to determine whether there was a reasonable basis for making such recommendations. The findings also included that Curtis Ile exercised discretion in customers’ accounts without obtaining prior written authorization from the customers and without his firm having accepted the accounts for discretionary trading.

According to Curtis Ile’s CRD, Curtis Ile was discharged from Sigma Financial Corporation in July 2018. According to Curtis Ile’s CRD, the Firm has reason to believe that Curtis Ile allegedly marked solicited trades as “unsolicited” on order tickets.

If you lost any money on investments with Curtis Ile, you may be able to recover your losses. If you lost money on investments with Curtis Ile and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Curtis Ile’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Curtis Ile and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us. 

Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange

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