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.
Investors potentially incurred losses because of securities broker Sandeep Madhavan [CRD: 4673687, El Segundo, California], according to information disclosed through FINRA BrokerCheck. Madhavan has worked for Ameriprise Financial Services as a securities broker since August 15, 2003, and as a financial advisor since May 10, 2007. Continue reading to find out more about the disclosed […]
Investors may have suffered financial harm by securities broker Carlos C. Garcia [CRD: 2635960, Westport, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garcia has worked for Kovack Securities Inc. and Kovack Advisors Inc. since October 19, 2012. See below to learn more about Garcia’s disclosures. Kovack Investor Accused Garcia Of […]
Investors might have sustained losses due to securities broker David Victor Janny [CRD: 1272727, Easton, Connecticut], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Janny has worked for Ameriprise Financial Services LLC since July 15, 2022, and previously worked for Morgan Stanley from November 21, 2012, to August 3, 2022. Investors […]
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