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Matthew Lawson Facing Allegation of a $3 Million Conversion

Mar 15, 2022 Broker Theft

Matthew Lawson (CRD #: 2869619), a broker registered with Cadaret, Grant & Co., is involved in a multi-million-dollar investor dispute, according to his BrokerCheck record, accessed on March 2, 2022. Investors who have worked with Matthew Lawson should review their investing portfolios.

On November 16, 2021, an investor alleged that Matthew Lawson engaged in conversion. He allegedly misrepresented that her grandfather had established a trust fund for her with Matthew Lawson as a trustee. The investor alleged that the account has been set up to hide Matthew Lawson’s conversion of funds. The investor is seeking to recover $3,000,000; the dispute is pending.

Regulatory Action

Matthew Lawson is also the subject of a regulatory action.

On June 3, 2020, the Tennessee Securities Division alleged that Matthew Lawson engaged in dishonest and unethical practices by failing to disclose a business loan with a client to his firm. FINRA Rule 3240 states that brokers may not borrow money from their customers except under a strict set of circumstances. The Tennessee Securities Division imposed a fine of $15,000 and ordered him to complete four FINRA training courses a heightened supervision period of two years.

On February 20, 2020, Raymond James fired Matthew Lawson following allegations that he did not disclose a business loan arrangement with an investor and did not seek approval from his firm.

Background Information

Matthew Lawson has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 Futures Managed Funds Examination
  • Series 7 General Securities Representative Examination
  • Series 24 General Securities Principal Examination

He is a registered broker in nine states and is a registered investment adviser in Georgia, Tennessee, and Texas.

He has worked with the following firms:

  • Raymond James Financial Services Advisors (CRD #: 149018)
  • Raymond James Financial Services (CRD #: 6694)
  • LPL Financial (CRD #: 6413)
  • SunTrust Investment Services (CRD #: 17499)
  • AmSouth Investment Management Company (CRD #: 111757)
  • AmSouth Investment Services (CRD #: 15692)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)

Kurta Law Can Help

If you have worked with Matthew Lawson and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated on behalf of investors who have lost money following broker fraud or misconduct. Kurta Law is a nationally recognized law firm and exclusively represents investors on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Our attorneys will work tirelessly to restore your lost funds and get your financial future back on track.