The investment loss recovery counsel at Soreide Law Group provide you with the following FINRA BrokerCheck details regarding securities broker Matthew “Matt” Gates (CRD#: 4727945, New York, New York). It appears that Gates worked for securities firm Joseph Gunnar Co. LLC (2009 to 2020) as financial advisor and securities broker before joining Worden Capital Management LLC. Evidently, investors of Joseph Gunnar brought disputes about Gates’ sales practices. Let’s take a closer look at those disclosures.
Evidently, a client of Joseph Gunnar filed a dispute about Matt Gates in June 2021 in regard to a real estate security. Supposedly, the client invested in an unsuitable REIT which caused them to experience damages. For this reason, they seek $16,600 in compensation. This FINRA Arbitration Claim is unresolved as of June 30, 2021.
It appears that Matt Gates worked for Joseph Gunnar Company since 2009 but was discharged in January 2020. Specifically, Joseph Gunnar claimed that Gates removed their clients’ information. According to the firm, Gates’ actions supposedly violated company policy and SEC rules. Gates denies the allegations.
It appears that a client of Joseph Gunnar disputed Matt Gates’ sales practices in August 2019. In this complaint, the client alleges misrepresentation. This concerned the client’s liquidity in a private placement. It seems that this resulted in damages to the client. To resolve the misrepresentation allegations, Joseph Gunnar compensated the client in the amount of $30,000 in July 2020.
Notably, BrokerCheck shows that a Joseph Gunnar client disputed Matt Gates’ stock trades. Supposedly, Joseph Gunnar or the securities broker acted in breach of fiduciary duty. In addition, but the client alleges negligence and negligent supervision of stock transactions. Finally, the securities broker supposedly misrepresented information in connection with the trades. It seems that Joseph Gunnar settled this matter by making a $40,000 payment to the client.
The first dispute about Gates concerns his alleged failure to place a stop loss order. However, Joseph Gunnar denied that dispute.
Did you experience losses because of Gates? If so, call Soreide Law Group at (888) 760-6552 and speak with a skilled securities lawyer about a potential recovery of your losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has helped US investors recover losses caused by their financial advisors and securities brokers. Please note that Gates denies all allegations of his sales practice violations.
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Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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