Scott Matalon, Formerly with Ameriprise Financial Services, Barred by FINRA
NEW YORK, NY
Did you lose money with financial advisor Scott Matalon, formerly with Ameriprise Financial Services in New York, New York? Scott Matalon was barred by FINRA after he failed to respond to a FINRA investigation.
Scott Matalon’s former brokerage firm, Ameriprise Financial Services, was being sued by a customer because of his alleged conduct. After the customer complaint was filed, FINRA began investigating this alleged conduct. Matalon refused to cooperate with FINRA’s investigation, which led to his expulsion from the securities brokerage industry.
Mr. Matalon had worked with Ameriprise Financial Services in New York City from May 2013 to August 2019. He also worked with RBC Capital Markets from August 2019 to August 2021 in Jericho, New York.
Financial advisors are subject to FINRA rules. Rule 8210 requires that advisors respond to FINRA investigations. Ameriprise Financial Services must adequately supervise the conduct of its advisors, per FINRA Rule 3110.
Our securities arbitration law firm represents clients all over the country, including investors in New York. We have recovered millions of dollars for investors against numerous firms, including against Ameriprise Financial Services.
View Matalon, s FINRA AWC
View Matalon, s BrokerCheck 6.7.23