Matthew Adam North (CRD #4460595) Has Disclosures on FINRA BrokerCheck

Matthew Adam North (CRD #4460595) was previously registered as a broker and is the subject of disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on March 18, 2026. It reflects one regulatory event, one employment separation, and one judgment/lien. If you invested with Matthew Adam North and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Regulatory Action(s)

Matthew North’s FINRA BrokerCheck report reflects one final regulatory action. A summary of the disclosure is below:

On January 15, 2026, FINRA initiated a regulatory action against Matthew North. Matthew North’s FINRA BrokerCheck report states he failed to respond to FINRA requests for information. FINRA imposed an indefinite suspension that started on February 9, 2026. BrokerCheck also states he may be automatically barred on April 20, 2026 if he does not request termination of the suspension within the period stated in FINRA’s notice.

Employment Separation

Matthew North’s FINRA BrokerCheck report reflects one employment separation after allegations. A summary of the disclosure is below:

BrokerCheck states Jackson National Life Distributors LLC discharged Matthew North on August 6, 2025. The firm reported that its investigation found he incurred personal charges on a corporate credit card and did not take steps to repay them. BrokerCheck also states the firm identified multiple undisclosed credit-related judgments and said that violated its written supervisory procedures.

Judgment / Lien

Matthew North’s FINRA BrokerCheck report reflects one judgment/lien disclosure. A summary of the disclosure is below:

BrokerCheck states a civil judgment for $833.31 was filed on September 10, 2024. Matthew North’s FINRA BrokerCheck report lists Midland Credit Management, Inc. as the holder and states the matter remains outstanding. BrokerCheck lists the 55th District Court in Mason, Michigan and docket number 243048GC.

Rule Summary #1: FINRA Rule 9552 (Failure to Provide Information or Keep Information Current)

FINRA Rule 9552 lets FINRA suspend a registered person who fails to provide requested information. It also allows the suspension to become a bar if the person does not act within the required period.

Rule Summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain supervisory systems and written procedures. A disclosure involving undisclosed judgments and a firm’s written supervisory procedures can raise supervision and compliance concerns.

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 North:

Is not currently registered and was previously registered with Jackson National Life Distributors LLC.

Has passed the Securities Industry Essentials (SIE) exam. Matthew North has also passed Series 7 and Series 63. He has also passed Series 24, Series 4, Series 53, and Series 28.

Was previously registered with firms that include Berthel, Fisher & Company Financial Services, Inc., Securities Management & Research, Inc., Geneos Wealth Management, Inc., Scottrade, Inc., Sammons Securities Company, LLC, and Sigma Financial Corporation.

Kurta Law Can Help

If you have worked with Matthew North and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. 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.