Danielle Matson – Financial Advisor/Broker Suspended from Securities Industry | Recover Investment Losses

Danielle Matson – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Danielle Matson a/k/a Danielle S.J. Matson CRD #4140827

Danielle Matson is a licensed financial advisor/broker with The Oak Ridge Financial Services Group, Inc. Danielle Matson was previously licensed with RBC Capital Markets LLC.

According to FINRA, Danielle Matson was fined $2,500 and suspended from the securities industry for 21 days in July 2021.

According to FINRA Allegations:

Matson consented to the sanctions and to the entry of findings that she entered false customer information into her member firm’s customer account profile system, thereby causing the firm to maintain inaccurate books and records. The findings stated that following the firm’s upgrade of the system adding required fields for customer liabilities and trusted contact, on 16 occasions when updating a customer account profile, Matson falsely entered “Less than $50,000” for the customer’s liabilities and on 16 other occasions, she falsely entered “None or none available” for the customer’s trusted contact. These entries were false, in that they did not represent the customers’ liabilities or trusted contacts, and each of the entries became part of the customers’ account record in the firm’s books and records. No customer losses resulted from these entries.

Goodman & Nekvasil, P.A. May Recover Investor Losses:

If you lost money on investments with Danielle Matson and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Danielle Matson’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Danielle Matson and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

Some of the information in this blog post was obtained on 9/1/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.


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