Brad Curtis Brooks

The Schwartz Law Firm is reviewing the latest FINRA matter involving Brad Curtis Brooks (CRD #1584633) of Frisco, Texas, and his firm, JTA Securities Management, Inc. dba Titan Securities (CRD #131392, Plano, Texas).

On August 7, 2026, Brooks appealed a Securities and Exchange Commission decision to the U.S. Court of Appeals for the Fifth Circuit. Under that decision, Brooks was fined $50,000, jointly and severally with his firm, suspended from association with any FINRA member in any principal and supervisory capacity for one year, and required to requalify by examination as a principal. The sanctions are not in effect while that review is pending.

The SEC sustained FINRA's findings that Brooks, while acting as the firm's CEO, willfully violated Sections 10(b) and 15(c) of the Securities Exchange Act of 1934 and Rules 10b-9 and 15c2-4 by releasing funds from an offering's escrow account before the minimum offering amount had been raised from bona fide investors. The SEC set aside FINRA's separate findings and sanctions about Brooks' supervision of a registered representative's outside business activities.

Brooks was the subject of an earlier FINRA action involving two private placement offerings, which we covered in a prior investigation update.

FINRA Case #2013035345701.

Source: FINRA, Disciplinary and Other FINRA Actions, October 2026, page 5.

If you have suffered losses as a result of Brad Curtis Brooks's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Brad Curtis Brooks. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.