Soreide Law Group, based in South Florida, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions May 2018:”
Matthew Singer (Matthew Sam Singer)(CRD #4972708, Aventura, Florida)
Singer was barred from association with any FINRA member in all capacities due to the fact that he allegedly refused to appear for FINRA on-the-record testimony in connection with its investigation into whether or not he and others had made unsuitable options recommendations to clients.
(FINRA Case #2016049937901)
FINRA has barred Matthew Singer from acting as a broker or otherwise associating with a broker-dealer firm.
According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, Matthew Singer has 4 Disclosures on his report, 3 are ‘Customer Disputes.’ Two of the allegations were unsuitable recommendations to clients. One of the disputes from 2015 was settled for $365,000.00. Another dispute settled in 2016 was due to “unauthorized trading and misrepresentation with respect to option investments - May 2015 to January 2016.” It settled for $60,000.
Singer had been in the securities industry for 9 years and was listed with 8 firms, the most recent listed below:
07/22/2013 - 03/14/2016 MORGAN STANLEY - AVENTURA, FL
02/05/2013 - 07/08/2013 FBN SECURITIES INC - NEW YORK, NY
01/24/2013 - 02/06/2013 ASCENDIANT CAPITAL MARKETS LLC - IRVINE, CA
10/18/2011 - 01/09/2013 CAPSTONE INVESTMENTS - NEW YORK, NY
10/04/2010 - 10/14/2011 CL KING & ASSOCIATES INC - NEW YORK, NY
If you were a client of Matthew Singer formerly of Morgan Stanley, Aventura, Florida, and you experienced financial losses due to his actions or recommendations, call Soreide Law Group, conveniently based in South Florida, and speak to an experienced securities lawyer regarding the possible recovery of your investment losses at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA. We operate on a contingency fee basis, no fee if no recovery.
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