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Matthew Leisman Allegedly Engaged in Negligence

Matthew Leisman (CRD #: 2113061), a broker registered with Moloney Securities Co., is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on June 21, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On April 11, 2024, an investor alleged that Matthew Leisman engaged in negligence and recommended an unsuitable investment. The investor sought $300,000 and the dispute settled for $50,000. 

There are similar allegations from November 3, 2024. 

What is an Unsuitable Investment?

FINRA Rule 2111 requires brokers to evaluate whether an investment strategy fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

  • Age
  • Risk tolerance
  • Time horizon (i.e., how long the investor plans to hold the investment)
  • Investing experience
  • Tax status
  • Financial goals

Investors who rely on brokers for recommendations may be able to recover losses from unsuitable investment recommendations by pursuing FINRA arbitration.


Many types of broker misconduct may qualify as negligence. Typical examples include unsuitable investment recommendations, misrepresentations or omissions of material fact, and failure to follow instructions.

Tax Liens 

Matthew Leisman is the subject of three tax liens. 

Background Information 

Matthew Leisman has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in eight states and is a registered investment adviser in Missouri and Texas. 

During his 26 years of experience, Matthew Leisman has registered with 14 firms. These are the five most recent: 

  • Moloney Securities (CRD #: 38535) 
  • Moloney Securities Asset Management (CRD #: 282448) 
  • Moloney Investment Advisory (CRD #: 282140) 
  • Money Concepts Advisory Service (CRD #: 12963) 
  • Trinity Capital Management (CRD #: 140946) 

Kurta Law Can Help 

If you have worked with Matthew Leisman and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.