Haselkorn & Thibaut Launches Investigation Into Thomas Francis Currie IV, Cohoes NY — Goldman Sachs & Co. LLC Financial Advisor
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Are you an investor who worked with Thomas Francis Currie IV in Cohoes, New York—currently registered with Goldman Sachs & Co. LLC? If you have concerns about how your investments have been managed or experienced unexpected losses, you are not alone. At Haselkorn & Thibaut, a national law firm with over 50 years of experience and a 98% success rate, we have opened an independent investigation into Thomas Currie’s conduct in light of recent investor complaints and settlement activity.
Our goal with this report is to give you, the investor, clear and factual insight into Thomas Currie’s professional background, a complete rundown of disclosures, and what red flags to watch for. If at any point you want clarity about your specific situation, remember: consultations are always free at Haselkorn & Thibaut—no recovery, no fee. Call 1-888-994-8066 to speak directly with an experienced investment fraud attorney.
Who is Thomas Francis Currie IV?
Thomas Francis Currie IV (CRD #5465944) is a seasoned financial advisor and registered stockbroker based in Cohoes, NY. As of the latest update, he is registered with Goldman Sachs & Co. LLC at 100 Coliseum Drive, Cohoes, NY. He’s also previously worked through entities such as Goldman Sachs Wealth Services, L.P. and The Ayco Company, L.P. d/b/a Goldman Sachs Ayco Personal Financial Management.
His licensure includes:
- Series 7 and 66 registrations
- NY Life Insurance License
- Serving as an Investment Adviser Representative (NY since 2021)
- Registered in 26 U.S. states/territories
Employment Timeline:
| Firm | Location | Role | Dates |
|---|---|---|---|
| Goldman Sachs & Co. LLC | Cohoes, NY | Financial Advisor | 07/2019 – Present |
| Goldman Sachs Wealth Services, L.P. | Cohoes, NY | Financial Advisor | 2010 – 2019 |
| The Ayco Company, L.P. / Mercer Allied | Cohoes, NY | Financial Advisor | 2007 – 2021 (overlapping roles) |
Understanding the Disclosures: What Investors Need To Know
Public records and industry databases are clear: as of the latest review, Thomas Currie maintains a BrokerCheck profile with NO formal regulatory actions, criminal disclosures, or financial events such as bankruptcies. You can view publicly available details and registration history on BrokerCheck.
But one key point for investors: in May 2023, a customer complaint led to a $130,000 settlement relating to a suitability dispute.
Detailed Customer Complaint & Settlement Involving Thomas Currie
Let’s examine the most significant red flag on file:
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May 2023 – Customer Complaint
- A client alleged that in May 2021, Thomas Currie recommended they sell certain securities and reinvest into a tax-advantaged private equity fund.
- The investor claimed the recommendation was unsuitable based on their tax objectives.
- The firm at the time associated with the complaint was The Ayco Company, L.P. d/b/a Goldman Sachs Ayco Personal Financial Management.
- No FINRA arbitration case number was listed in the public record.
- Final settlement (August 4, 2023): $130,000 paid to the customer on a $140,000 demand.
Key Takeaway: While one customer complaint may not indicate a broader pattern, unsuitability claims are always a reason for careful review—especially when they result in a six-figure settlement.
What Is “Unsuitability,” and Why Does It Matter?
When it comes to investment recommendations, advisors must comply with FINRA Rule 2111 (Suitability) and, for retail customers, SEC Regulation Best Interest. In simple terms: your advisor must ensure recommendations make sense for your specific investment profile, goals, and risk tolerance.
Unsuitability examples might include:
- Encouraging investments that create unexpected tax consequences
- Suggesting high-risk products to risk-averse investors
- Failing to consider liquidity needs or personal circumstances
If you’ve been encouraged to invest in complex, tax-advantaged, or private funds without feeling fully informed—or if your account performance doesn’t match your expectations—this could signal a suitability problem.
Additional Background Check: Any Regulatory, Legal, or Financial Red Flags?
Our research process included rigorous checks across the most authoritative industry databases:
| Database | Result for Thomas Francis Currie IV |
|---|---|
| FINRA BrokerCheck | No regulatory, criminal, or financial disclosures. Noted settlement as above. |
| SEC Enforcement Actions/EDGAR | No orders, investigations, or proceedings listed. |
| PACER (Federal Court) | No civil suits involving Currie as defendant. |
| State/General Web | No news coverage of class actions, private litigation, or other customer disputes. |
Summary: Other than the recent customer complaint and settlement, there are currently no additional disclosures or actions on file. This record should provide some reassurance, but any unresolved investor losses still deserve careful review by a qualified attorney.
How to Protect Yourself if You Invested With Thomas Currie or Goldman Sachs & Co. LLC in Cohoes, NY
If you worked with Thomas Francis Currie IV or anyone at Goldman Sachs & Co. LLC and have questions about how your investments were managed, you are entitled to transparency and fair treatment.
Here’s what you can do next:
- Request a comprehensive portfolio review—know what products, funds, or strategies were used in your account.
- If you noticed unusual volatility, large unexpected tax bills, or illiquid products, seek an independent second opinion immediately.
- Document all communications and statements related to your investments—these details are helpful for any case review.
Concerned About Your Investment Losses? Haselkorn & Thibaut Can Help
With millions recovered nationwide and a 98% success rate, Haselkorn & Thibaut is here to be a resource and ally for wronged investors. Our investigation into Thomas Francis Currie IV is ongoing, and if you believe your experience may be relevant—or if you suffered financial losses—don’t wait.
- No recovery, no fee—if we don’t win your case, you pay nothing.
- All consultations are 100% confidential and free.
- Speak to an attorney with deep experience in securities arbitration and investment fraud.
Your financial security deserves a closer look—call us at 1-888-994-8066 to schedule your free review today.
Stay informed, be proactive, and make decisions with confidence. If you or someone you know invested with Thomas Francis Currie IV at Goldman Sachs & Co. LLC in Cohoes, NY, connect now for trusted guidance and support.
