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Lauren Matles Named in Dispute Seeking $4.7 Million

Lauren Matles (CRD #: 2945465), a broker registered with Wells Fargo Clearing Services, allegedly failed to follow instructions, according to her BrokerCheck record, accessed on September 25, 2022. Read on to learn more about her conduct as a broker.

Investor Dispute

A pending dispute filed on August 5, 2022, named Lauren Matles, other Wells Fargo brokers, and the firm itself in allegations that they failed to follow a client’s instructions involving an account she was entitled to joint ownership over. The client seeks $4,731,350 in damages.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Lauren Matles has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Lauren Matles is a registered broker in 25 states and a registered investment adviser in Illinois.

She has also worked for the following firms:

  • Wells Fargo Investments (CRD#:10582)
  • LaSalle Financial Services (CRD#:20373)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Northern Trust Securities (CRD#:7927)

Kurta Law Can Help

If you worked with Lauren Matles and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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