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Matthew Vanek Allegedly Did Not Properly Distribute Assets

Matthew Vanek (CRD #: 3270671), a broker registered with LPL Financial, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on September 27, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On July 22, 2024, a beneficiary alleged that Matthew Vanek did not properly distribute assets and did not obtain her accounts to open accounts. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to properly distribute assets may violate this rule. 

Background Information 

Matthew Vanek 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 7 General Securities Representative Examination  
  • Series 24 General Securities Representative Examination 

He is a registered broker in 24 states and is a registered investment adviser in Pennsylvania and Texas.

Matthew Vanek has registered with four firms: 

  • LPL Financial (CRD #: 6413) 
  • Advest (CRD #: 10) 
  • American Express Financial Advisors (CRD #: 6363) 
  • IDS Life Insurance Company (CRD #: 6321) 

Kurta Law Can Help 

If you worked with Matthew Vanek and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com 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.

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