Investigation of Advisor MATTHEW HOWARD SMITH- Clifton Park, NY

Matthew Howard Smith, Formerly with Securities America, Subject of FINRA Investigation

CLIFTON PARK, NY

The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing allegations made about Matthew Howard Smith. FINRA (the Financial Industry Regulatory Authority) has brought an investigation into Matthew Smith. According to FINRA’s BrokerCheck, he has failed to respond to its investigation. FINRA issued a “Wells Notice”, making a preliminary determination that disciplinary action be brought against him.

Matthew Howard Smith had been an advisor with Securities America from September 2018 to March 2022. He had previously been affiliated with Cadaret Grant & Company from 2003 to September 2018. He also operated CP Capital Management from an office in Clifton Park, New York

FINRA Rule 8210 requires licensed financial advisors to respond to FINRA investigations or face consequences such as suspensions or expulsions from the securities industry. FINRA rules also provide that securities brokerage firms must reasonably supervise their financial advisors like Matthew Smith. If the firm fails to adequately supervise their representatives, they may be on the hook for investor losses.

Our firm represents investors all over the country, and we have previously represented investors against Securities America.

View BrokerCheck: Smith, Matthew BrokerCheck 3.30.22

If you lost money with Matthew Smith or Securities America, please Contact Us at 720-599-3505 for a free evaluation of your case.