Matthew Gaspar Resigns from Merrill Lynch Following Alleged Misconduct
Matthew Gaspar (CRD #: 5772487), a broker registered with Prospera Financial Services, resigned from his previous firm, according to his BrokerCheck record, accessed on July 12, 2023. If you have questions about his alleged conduct as a broker, keep reading.
Resignation from Merrill Lynch, Pierce, Fenner & Smith
On May 18, 2023, Matthew Gaspar resigned from Merrill Lynch, Pierce, Fenner & Smith for allegedly engaging in misconduct, including making inaccurate entries concerning required client account reviews in a firm tracking system.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of other rules may also qualify as violations of FINRA Rule 2010.
FINRA Rule 4511
FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records.
Matthew Gaspar has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
Matthew Gaspar is a registered broker in 31 states and a registered investment adviser in Arizona, New Mexico, and Texas.
He has also worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).
Kurta Law Can Help
If you worked with Matthew Gaspar and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.