Matthew Edwin Greene (CRD #3175382) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Matthew Edwin Greene (CRD #3175382) is a broker with a customer dispute on FINRA BrokerCheck. We reviewed his BrokerCheck report on May 23, 2026. It reflects one pending customer dispute. If you invested with Matthew Greene and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Matthew Greene’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On March 4, 2026, a customer alleged Matthew Greene failed to adequately disclose risks tied to an investment recommendation. FINRA lists the forum as FINRA arbitration and the case number as 23-00501. Matthew Greene FINRA BrokerCheck lists the product as tax credits. The statement of claim did not state a specific damage amount. A good-faith review found that potential damages from the alleged conduct could exceed $5,000. The complaint is pending.

Rule Summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a firm or broker to have a reasonable basis for a recommendation. The recommendation should fit the customer’s investment profile.

Rule Summary #2: FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices)

FINRA Rule 2020 bars manipulative, deceptive, or fraudulent devices in securities transactions. Risk-disclosure disputes may raise questions about what the customer was told before investing.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Matthew Greene:

Is currently registered with LPL Financial LLC and Pelican Advisory LLC.

Has passed the Securities Industry Essentials (SIE) exam. Matthew Greene has passed Series 7. He has also passed Series 66 and Series 63.

Was previously registered with firms that include Securities America, Inc., Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., and Banc One Capital Markets, Inc.

Kurta Law Can Help

If you worked with Matthew Greene and have concerns, Kurta Law may be able to help. The firm can evaluate your legal options. To speak with the firm, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Unsuitable Investments

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.