Keith Michael Curtis, of Tampa, Florida, a stockbroker registered with Aegis Capital Corp., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Curtis failed to comply with the regulator’s requests during its investigation into allegations of Curtis’ possible conversion or misappropriation of funds. Letter of Acceptance, Waiver, and Consent No. 2020068885901 (November 16, 2023).
On October 21, 2020, a grand theft larceny charge was brought against Curtis in Sarasota County, Florida. In connection with FINRA’s investigation into Curtis’s potential conversion of funds, FINRA sent a request to Curtis on November 10, 2023, for testimony under FINRA Rule 8210. Curtis confirmed that he received this request in an email to FINRA on November 14, 2023. However, he refused to appear for testimony. By refusing to cooperate with the regulator, Curtis violated FINRA Rules 2010 and 8210.
Curtis was associated with Aegis Capital Corp. in Tampa, Florida from June 17, 2015, to January 3, 2022.
