Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Sathre (Sathre), currently associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sathre recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 16, 2025.
Investment disputes from 2004 – 2009 that ended in FINRA DR 10-00507 for the defense with the defense’s costs and expert fees assessed against the investor and an expungement award for the broker.
