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Matt Hansen Allegedly Executed Unauthorized Trades

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
August 19, 2025 at 2:19am

Matt Hansen (CRD #: 4696471), a broker formerly registered with Morgan Stanley, allegedly engaged in unauthorized trading, according to his BrokerCheck record, accessed on July 20, 2025. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On April 22, 2025, an investor alleged that Matt Hansen executed unauthorized trades. This dispute was settled for $144,007.78.

FINRA Rule 3260

Unauthorized trading violates FINRA Rule 3260, which limits brokers to engaging in discretionary trading only in pre-authorized accounts. Both the firm and the client must approve an account before discretionary trading can occur.

FINRA Rule 2010

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

Background Information

Matt Hansen has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Combined State Law Examination – Series 66

Matt Hansen is a registered broker in 39 states as well as the District of Columbia and the Virgin Islands. He is also a registered investment adviser in California and Texas.

He has also worked for the following firms:

  • UBS Financial Services (CRD#:8174)
  • Lucia Securities (CRD#:37179)
  • Lucia Wealth Services (CRD#:152396)
  • First Allied Securities (CRD#:32444)
  • Raymond J. Lucia Companies (CRD#:115670)
  • Securities America (CRD#:10205) 

Kurta Law Can Help

If you worked with Matt Hansen 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 that 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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