Curtis Michael Worrell—Private Securities Transactions without Proper Prior Notice

Curtis Michael Worrell Allegedly Participated in Nine Private Securities Transactions Totaling $1,179,885 in Sales, without Having Provided Prior Notice

Curtis Michael Worrell, from January 2008 through October 2008, allegedly participated in nine private securities transactions totaling $1,179,885 in sales, without providing prior notice from Madison Avenue Securities, Inc., according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and Joe Peiffer.

Curtis Michael Worrell allegedly received $46,492 in compensation from the aforementioned alleged transactions, the Complaint also notes.

The Peiffer Rosca Wolf securities lawyers are investigating Curtis Michael Worrell’s alleged unapproved private securities transactions.

Curtis Michael Worrell Allegedly Participated in the Sale of Notes Issued by Diversified Lending Group, Inc. (DLG) and by Carr Miller Capital, LLC (CMC); Suspended by FINRA, Fined $5,000, and  Ordered Disgorgement of the Commissions for the Amount of $44,164

Curtis Michael Worrell allegedly participated in the sale of notes that were issued by Diversified Lending Group, Inc. (DLG) and by Carr Miller Capital, LLC (CMC), according to the aforementioned FINRA Complaint presently under review by attorneys Alan Rosca and Joe Peiffer.

The FINRA Complaint further alleged that both DLG and CMC were multi-million dollar Ponzi schemes.

As a result of the aforementioned behavior, Curtis Michael Worrell allegedly violated FINRA Rules, and has been suspended, fined $5,000 by FINRA, and has been ordered disgorgement of the commissions in the amount of $44,164 for participating in nine aforementioned private securities transactions totaling $1,179,885.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of unapproved private securities transactions and are currently investigating Curtis Michael Worrell’s alleged unapproved private securities transactions. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Curtis Michael Worrell’s alleged unapproved private securities transactions and purported involvement with multi-million dollar Ponzi schemes may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1225 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.