Investors reportedly complained about securities broker Matthew C. Haverty (also known as Matt Haverty) [CRD: 4618183, Leawood, Kansas], according to disclosures on FINRA BrokerCheck. Notably, Haverty joined RBC Capital Markets LLC on February 8, 2019, operating from their office in Leawood, Kansas. Prior to that, he worked for Morgan Stanley from June 1, 2009 to February 11, 2019, also in Leawood, Kansas. Keep reading to learn more about the pending allegations involving Haverty.
Evidently, on April 24, 2024, an RBC Capital Markets client filed FINRA Arbitration No. 24-00900 about Matthew Haverty. Particularly, the client alleged that Haverty made unsuitable recommendations and overconcentrated the investor’s assets in emerging markets stocks and international stocks. As a result, the client allegedly experienced damages. Consequently, the client requested $750,000.00 in compensation from RBC Capital Markets or Haverty. This arbitration is pending a resolution.
When securities brokers or financial advisors make unsuitable recommendations, they are advising clients to buy investments that are not appropriate for their goals, risk tolerance, or financial situation. Overconcentration happens when a securities broker puts too much of a client's money into one type of investment, such as international stocks, which increases the risk of losses if that investment performs poorly.
Do you have questions or concerns about investments involving Matthew Haverty? If so, touch base with Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer. Soreide Law Group helps recover losses for investors throughout the United States. Also, the firm works on a contingency fee basis and advances the costs. Haverty and brokerage firms Haverty worked for deny allegations of sales practice violations.
One or more investors possibly experienced losses because of securities broker Scott Jason Hechler [CRD: 5277526, Garden City, New York], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hechler has worked for Spartan Capital Securities LLC since May 15, 2023. Previously, he worked at SW Financial from December 10, 2019 […]
Investors potentially experienced sales practice violations due to securities broker Rodger Anthony McAlister [CRD: 2676623, Louisville, Kentucky], according to disclosures on FINRA BrokerCheck. Evidently, McAlister has worked for Money Concepts Capital Corp since December 12, 2005, and for Money Concepts Advisory Service since March 12, 2007. Read below to learn more about McAlister’s disclosures and […]
Investors apparently complained about securities broker Paul N. Lekousis [CRD: 2545673, La Grange Park, Illinois], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lekousis has worked for OneAmerica Securities Inc. since October 16, 2023, in Indianapolis, Indiana, and since November 30, 2023, in La Grange Park, Illinois. Previously, he […]
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