Investors might have sustained losses due to securities broker Matt Abeywardena Ward [CRD: 2075525, Santa Monica, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ward joined A.G.P. / Alliance Global Partners on April 4, 2012. Continue reading to learn more about Matt Ward’s regulatory issues and the implications for investors.
FINRA sanctioned Matt Ward for infractions, issuing Case No. 2023080530501 on February 7, 2024. Allegedly, Ward exercised discretion in client accounts. He had no prior written authorization from any of the clients for this type of trading. Also, his employer did not approve any of the accounts as discretionary. Supposedly, Ward effected trades in the client accounts without first speaking to the clients prior to execution on the date of the transactions. As a result, Ward was suspended for 15 business days from March 4, 2024, to March 22, 2024, and fined $5,000.
Also, a Euro Pacific Capital Inc. client filed FINRA Arbitration No. 21-00879 about Matt Ward. Supposedly, Ward caused poor performance of certain mutual funds. So, on June 14, 2021, Euro Pacific Capital Inc. settled this matter by paying the client $35,000 in damages.
Additionally, a client of Euro Pacific Capital Inc. contested Matt Ward’s sales practices by filing FINRA Arbitration No. 16-01513. Allegedly, Ward engaged in unsuitable trading, churning, and unauthorized trading. It appears that Ward caused the client to sustain damages on stocks and over-the-counter equities. Therefore, Euro Pacific Capital Inc. opted to settle the matter on November 8, 2018, by compensating the client in the amount of $25,000.
Have you experienced losses because of Matt Ward? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, represents investors through contingency fees, and advances all costs. Ward and brokerage firms he worked for deny accusations of sales practice violations.
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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