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Matthew Smith Subject of FINRA Investigation

May 12, 2022 FINRA Investigation

Matthew Smith (CRD #: 2688706), a former broker, is under investigation by FINRA, according to his BrokerCheck record, accessed on May 8, 2022. Keep reading if you have questions about Matthew Smith’s conduct as a broker.

FINRA Investigation

On March 15, 2022, FINRA filed a preliminary judgment following an investigation recommending Matthew Smith face disciplinary action for alleged violations of FINRA Rules 8210 and 2010 involving failure to provide documents, information, and testimony.

FINRA Rules 8210 and 2010

FINRA Rule 8210 requires FINRA members to respond to requests for information and testimony in connection with FINRA investigations. Failure to comply violates FINRA Rule 2010, which holds brokers to high standards of professional conduct.

Background Information

Matthew Smith has passed the following exams:

  • 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

In the past, he worked for the following firms:

  • Securities America (CRD#:10205)
  • Cadaret, Grant & Company (CRD#:10641)
  • Nathan & Lewis Securities (CRD#:8503)
  • Guardian Investor Services (CRD#:6635)

Kurta Law Can Help

If you worked with Matthew Smith and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.