Matt Ward Has A Settled Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses
A.G.P. / ALLIANCE GLOBAL PARTNERS investment adviser, Matt Ward has an investor complaint.
MATT WARD (CRD#: 2075525), a registered broker for A.G.P. / ALLIANCE GLOBAL PARTNERS in SANTA MONICA, CA, has an investor complaint. According to Ward’s FINRA BrokerCheck report, Customer alleged unsuitable trading, unauthorized trading and churning, which allegedly occurred between January 2010 and June 2014.
The claim settled for $25,000.00.
A second FINRA claim for another customer resulted in a settlement of $35,000.00.
On 3/4/2024 Matt Ward began a FINRA imposed suspension for 15 days. FINRA alleged that that he exercised discretion in customer accounts without prior written authorization to do so from any of the customers and without his member firm having accepted any of the accounts as discretionary. The findings stated that Ward effected trades in the customer accounts without first speaking to the customers prior to execution on the date of the transactions. Ward’s customers knew that he was exercising discretion in their accounts.
Matt Ward has settled investor complaints.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 3/15/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.