Matthew Garret Gross (CRD #4763385) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Matthew Garret Gross (CRD #4763385) is a broker with a customer dispute on FINRA BrokerCheck. We reviewed his BrokerCheck report on June 18, 2026. It reflects one customer dispute. If you invested with Matthew Gross and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

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

On April 22, 2026, a customer alleged Matthew Gross failed to protect the customer after the customer reported suspicious activity tied to a scam. The customer alleged the activity began in June 2025. Matthew Gross FINRA BrokerCheck lists the product as other miscellaneous. The pending FINRA arbitration is docket 26-00929. The claimant seeks at least $431,920 in damages. The matter remains pending.

Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires members to follow high standards of commercial honor. Customer disputes involving fraud concerns may raise questions about fair dealing and account handling.

Rule Summary #2: FINRA Rule 2090 (Know Your Customer)

FINRA Rule 2090 requires reasonable diligence to know essential customer facts. It can matter when a customer reports suspicious activity or requests special account handling.

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 Gross:

Is currently registered with Wells Fargo Advisors and Wells Fargo Clearing Services, LLC.

Has passed the Securities Industry Essentials (SIE) exam. Matthew Gross has passed Series 7TO and Series 6. He has also passed Series 63 and Series 65.

Was previously registered with firms that include Advised Assets Group, LLC; GWFS Equities, Inc.; UMB Financial Services, Inc.; Chase Investment Services Corp.; and Banc One Securities Corporation.

Kurta Law Can Help

If you have worked with Matthew Gross and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. A securities attorney can assess potential claims and explain whether losses may be recoverable through FINRA arbitration or other avenues. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What Is Securities Fraud

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.