Gregory Matthews Of Morgan Stanley Barred By FINRA For Failure To Comply With Investigation

Investors potentially incurred losses because of securities broker Gregory Vincent Matthews (also known as Greg Matthews) [CRD: 1389823, New York, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Matthews worked for Morgan Stanley from May 16, 2016, to June 12, 2025. See the following information to find out more about the disclosures involving Matthews.

FINRA Sanctioned Greg Matthews For Failure To Provide Information

Evidently, on February 18, 2026, FINRA issued Case: 2025086337101 sanctioning Gregory Matthews. Notably, FINRA alleged that Matthews failed to provide information and documents requested during an investigation connected to his discharge from Morgan Stanley.

According to the regulatory action, FINRA began its investigation after Morgan Stanley filed a Form U5 concerning Matthews’ discharge in June 2025. In January 2026, FINRA requested information and documents from Matthews according to FINRA Rule 8210 as part of its investigation into the circumstances surrounding his termination from the firm.

FINRA Rules Allegedly Violated By Gregory Matthews For Noncompliance

FINRA alleged that Matthews violated FINRA Rules 8210 and 2010. Rule 8210 requires securities brokers under FINRA’s jurisdiction to provide documents and information requested during regulatory investigations. Rule 2010 requires securities brokers to observe high ethical standards.

FINRA stated that Matthews, through his lawyer, acknowledged receipt of FINRA’s request but indicated that he would not provide the requested information and documents. According to FINRA, that refusal violated FINRA Rules 8210 and 2010.

Sanctions Imposed By FINRA For Failure To Comply

As part of the Acceptance, Waiver, and Consent agreement, Matthews consented to the sanctions without admitting or denying FINRA’s findings. FINRA imposed a permanent bar prohibiting Matthews from associating with any FINRA member firm in any capacity.

Gregory Matthews Disclosed Sales Practice Violation Allegations By Morgan Stanley Client Potentially Involving Unsuitable Advice

Additionally, a client of Morgan Stanley disputed Gregory Matthews’ sales practices, according to a complaint dated March 12, 2026. Allegedly, Matthews recommended variable annuities that were not in the clients’ best interests. It appears that Matthews allegedly caused the client to experience damages. As a result, the client sought compensation from Morgan Stanley or Matthews in this matter.

Weatherly Securities Investor Accused Greg Matthews Of Unauthorized Trading And Churning

Particularly, a Weatherly Securities client filed NASD Arbitration No. 01-06561 about Gregory Matthews. Mainly, the client alleged that Matthews engaged in churning and unauthorized trading. For this reason, the client allegedly experienced damages. Consequently, on March 31, 2004, Weatherly Securities settled this matter by paying the client $50,000. Matthews reportedly contributed $25,000 toward the settlement.

Are You Looking For More Information About Financial Advisor / Securities Broker Gregory Matthews?

Are you concerned about investments you made through Gregory Matthews? You can contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for individuals throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Matthews and brokerage firms Matthews worked for deny allegations of sales practice violations.