Thomas Jacobs (CRD 4139430) is a Bay City, Michigan broker. FINRA suspended him from association with any member firm in all capacities for two months and assessed a deferred fine of $2,500, according to an AWC issued August 3, 2026.
Investors might have sustained losses due to securities broker Matthew James Kloos [CRD: 7292988, Monroeville, Pennsylvania], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Matthew Kloos worked for Cetera Investment Services LLC from February 21, 2024, to April 23, 2026, and previously worked for Mutual of Omaha Investor Services Inc. from August 8, 2023, to October 26, 2023. Investors are encouraged to continue reading to discover more about the disclosures involving Matthew Kloos.
Matthew Kloos is the subject of an investigation initiated by FINRA on June 22, 2026, into allegations that Kloos failed to comply with firm policies governing client document signatures by placing a client's name on paperwork while associated with Cetera Investment Services LLC.
Particularly, Cetera Investment Services LLC disaffiliated with Kloos on April 3, 2026. Allegedly, Kloos did not follow the firm's supervisory procedures about signing a client's name on paperwork. The firm reported that this conduct led to Kloos' discharge.
Forgery generally involves signing another person's name or altering a document without proper authorization. In the securities industry, firms often maintain written supervisory procedures governing how representatives must handle client documents and signatures. Allegations involving unauthorized signatures can result in internal disciplinary action, regulatory investigations, or investor complaints.
Do you need guidance on any investment losses relating to Matthew Kloos? You can contact Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, our securities lawyers work on a contingency fee basis and advance all costs. Kloos and brokerage firms Kloos worked for deny accusations of sales practice violations.
Thomas Jacobs (CRD 4139430) is a Bay City, Michigan broker. FINRA suspended him from association with any member firm in all capacities for two months and assessed a deferred fine of $2,500, according to an AWC issued August 3, 2026.
Mark Sullivan (CRD 2531982) is a Bethlehem, Pennsylvania broker. FINRA suspended him from association with any member firm in all capacities for three months and assessed a deferred fine of $10,000, according to an AWC issued August 6, 2026.
Moors & Cabot, Inc. (CRD 594) is a brokerage firm based in Boston, Massachusetts. FINRA censured and fined the firm $125,000 after finding it failed to develop and implement an anti-money laundering compliance program reasonably expected to detect and report suspicious transactions, according to an AWC issued August 24, 2026.
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