Scott David Curtis of Great Neck New York a stockbroker currently employed by Merrill Lynch Pierce Fenner Smith Inc. is referenced in a customer initiated investment related arbitration claim in which the customer sought $100,000.00 in damages based upon accusations that (1) misrepresentations and omissions had been made to the customer and (2) unsuitable mutual fund and equity transactions had been executed in the customer’s account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-00007 (Jan. 5, 2018).
FINRA Public Disclosure confirms that Curtis is referenced in three more customer initiated investment related disputes containing allegations of Curtis’ misconduct while employed with Merrill Lynch. Particularly, on February 5, 2002, a customer filed an investment related complaint involving Curtis’ activities where the customer requested $30,500.00 in damages founded on accusations that unsuitable unit investment trust transactions were effected in the customer’s account.
On August 30, 2002, another customer filed an investment related complaint regarding Curtis’ conduct in which the customer sought $19,612.35 in damages supported by allegations of an unsuitable stock trade having been placed in the customer’s account. Moreover, on October 21, 2002, a customer filed an investment related complaint concerning Curtis’ activities where the customer alleged that TXU Corp. common stock was purchased in the customer’s account despite the investment failing to conform to the customer’s objectives for investing.
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