Soreide Law Group, PLLC, (888) 760-6552, obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.”
Matthew Francis Deline (CRD #4910379, Registered Representative, Encinitas, California)
was barred from association with any FINRA member in any capacity. This sanction was based on FINRA's findings that Deline failed to appear and testify at an on-the-record interview.
FINRA's findings stated that FINRA sought Matthew Deline’s testimony in connection with its investigation of his unsuitable recommendations to his member firm’s customers involving multiple speculative and illiquid direct participation programs and non-traded real estate investment trusts (REITs), and whether he caused his member firm’s books and records to be inaccurate by submitting materially inaccurate direct purchase application forms and subscription documents.
FINRA's findings also stated that Matthew Deline initially cooperated with FINRA’s beginning phase of the investigation, but when FINRA expanded its investigation, Deline did not appear.
(FINRA Case #2009019067201)
According to FINRA's BrokerCheck, Matthew Francis Deline was previously registered with FINRA at the following brokerage firms:
WFP SECURITIES
CRD# 35098
ENCINITAS, CA
02/2005 - 06/2010
This ends the information obtained on FINRA’s website.
If you have sustained investment losses due to your stock broker or financial advisor’s recommendations regarding non-traded REITs, private placements, or other illiquid, complex products, call for a free consultation on how to potentially recover your losses. To speak with an attorney call Soreide Law Group at 888-760-6552.
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