Soreide Law Group is investigating possible investor claims against securities broker Matthew Gates (also known as Matt Gates) [CRD: 4727945, New York, New York]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Joseph Gunnar Co. LLC. Notably, investors allege unsuitable recommendations. Here is a brief summary of the disclosures about Gates.
Evidently, a Joseph Gunnar Co. LLC client filed FINRA Arbitration: 21-01369 about Matthew Gates. Namely, the client alleged that Gates made unsuitable recommendations. Because of this, the client allegedly sustained damages on real estate securities. Therefore, on September 15, 2022, Joseph Gunnar Co. LLC settled this matter by paying the client $43,000 in damages.
Also, a client of Joseph Gunnar Co. LLC contested Matthew Gates’ sales practices, according to a complaint dated April 1, 2013. Allegedly, Gates failed to execute a stop loss order. Therefore, the client requested compensatory relief from Joseph Gunnar Co. LLC or Gates in the amount of $9,131. However, Joseph Gunnar Co. LLC denied this complaint.
Evidently, a Joseph Gunnar Co. LLC client filed FINRA Arbitration: 13-00869 about Matthew Gates. Namely, the client alleged that Gates breached fiduciary duties, was negligent, failed to supervise certain registered representatives, and made misrepresentations of material fact. Because of this, the client allegedly sustained damages on over-the-counter equities. Therefore, on July 23, 2014, Joseph Gunnar Co. LLC settled this matter by paying the client $40,000 in damages.
Additionally, a client of Joseph Gunnar Co. LLC contested Matthew Gates’ sales practices, according to a complaint. Allegedly, Gates made misrepresentations of material fact. Supposedly, the private placement transactions resulted in damages. Therefore, Joseph Gunnar Co. LLC opted to settle the matter on July 1, 2020, by compensating the client in the amount of $30,000.
Particularly, on May 18, 2022, a Joseph Gunnar Co. LLC client filed FINRA Arbitration: 22-01081 about Matthew Gates. Namely, the client alleged that Gates made unsuitable recommendations and engaged in excessive trading. Because of this, the client allegedly sustained damages on direct investments and real estate securities. Therefore, the client requested $500,000 in compensation from Joseph Gunnar Co. LLC or Gates. Evidently, this arbitration is pending a resolution.
Also, a client of Joseph Gunnar Co. LLC contested Matthew Gates’ sales practices by filing FINRA Arbitration: 21-01730. Allegedly, Gates made unsuitable recommendations. It appears that the real estate securities transactions resulted in damages. Therefore, Joseph Gunnar Co. LLC opted to settle the matter on July 12, 2022, by compensating the client in the amount of $165,000.
Have you experienced damages because of Matthew Gates? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with a securities attorney about the potential recovery of your investment losses or other damages. Soreide Law Group, who has effectively recovered money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances all costs. Gates and brokerage firms Gates worked for deny accusations of sales practice violations.
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