Curtis Ile, formerly with Sigma Financial Corp., Suspended 6 Months by FINRA

Have you lost money with financial advisor Curtis Ile of Mount Carmel, Illinois?  We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Curtis Roy Ile. FINRA suspended Ile from the securities industry for six months.  FINRA was investigating Ile for allegations that he was involved in mismarking trades in customer accounts as “unsolicited” when they are in fact solicited.  Ile’s conduct occurred was he was affiliated with Sigma Financial Corp.

Curtis Ile was a financial advisor and registered representative of Sigma Financial Corp. from June 2015 to July 2018.  He worked at a branch office in Mount Carmel, Illinois.  Ile was also terminated by Sigma Financial Corp.

Brokerage firms like Sigma Financial Corp. have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Illinois.  Both attorneys Aaron Israels and David Neuman are licensed to practice law in Illinois.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Sigma Financial Corp.

Click to view:  ILE, CURTIS BrokerCheck

Click to view:  Ile, Curtis FINRA AWC

If you lost money with CURTIS ILE or Sigma Financial Corp., please CONTACT US at 720-599-3505 for a free evaluation of your case.