Matthew Cloutier Fired from Mutual of Omaha Investor Services
Matthew Cloutier (CRD #: 4697749), a broker registered with Securities America, was fired from his firm, according to his BrokerCheck record, accessed on April 25, 2022. If you want to know more about Matthew Cloutier’s conduct as a broker, read on.
Discharge from Mutual of Omaha Investor Services
Unauthorized Use of Customer Information
Under the SEC’s Regulation S-P, firms are mandated to enforce policies and procedures addressing customer information and records protection. This includes maintaining the integrity of customer records and restricting access to customer records or information.
Matthew Cloutier has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- Series 65 – Uniform Investment Adviser Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
Matthew Cloutier is a registered broker in five states and a registered investment adviser in Colorado.
He has also worked for Mutual of Omaha Investor Services (CRD#:611).
Kurta Law Can Help
If you worked with Matthew Cloutier and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.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.