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Matthew Fitzgerald Subject of Investor Dispute

Jan 4, 2023 Unsuitable Investments

Matthew Fitzgerald (CRD #: 6656184), a broker registered with Edward Jones, is involved in a pending dispute, according to his BrokerCheck record, accessed on December 26, 2022. Read on to learn more about his alleged conduct as a broker.

Investor Dispute

On November 2, 2022, an investor alleged that they informed Matthew Fitzgerald of their desire to preserve their invested principal and that their investments later lost value. This dispute is currently pending.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles. Brokers must examine the characteristics described in an investor’s profile, including the following:

  • Age
  • Financial goals
  • Risk tolerance
  • Time horizon (i.e., how long the investor plans to hold the investment)
  • Investing experience
  • Tax status

Investors who rely on brokers for investment recommendations can seek out FINRA arbitration and potentially recover their losses.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many FINRA Rule 2111 may also qualify as violations of FINRA Rule 2010.

Background Information

Matthew Fitzgerald has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Matthew Fitzgerald is a registered broker in 12 states and a registered investment adviser in Arizona.

Kurta Law Can Help

If you worked with Matthew Fitzgerald and you have concerns about your investments, please contact us today at 877-600-0098 or 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.