Matthew Gates: Did He Make Unsuitable Recommendations?
Matthew Gates (CRD #: 4727945), a broker registered with Worden Capital Management, is involved in a new investor dispute, according to his BrokerCheck record, accessed on August 5, 2021.
On July 6, 2021, an investor alleged that Matthew Gates recommended unsuitable investments. The investor is seeking $166,000; the dispute is pending.
Gates has also been fired. On January 10, 2020, Joseph Gunnar & Co. fired Matthew Gates following allegations that he removed confidential client information in violation of company policy and SEC regulations.
Gates has two settled investor disputes that allege he misrepresented certain securities. These disputes were collectively resolved for $70,000.
Matthew Gates Background Information
Gates has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
He is a registered broker in 31 states.
Besides Worden Capital Management (CRD #: 148366) and Joseph Gunnar & Co. (CRD #: 24795), Gates has worked with the following firms:
- Laidlaw & Company (UK) Ltd. (CRD #: 119037)
- Sands Brothers & Co. (CRD #: 26816)
Kurta Law Can Help
If you worked with Matthew Gates and you have concerns about your investments, contact Kurta Law today. Call 212-658-1502 or email email@example.com.