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.