Matthew Kerby, formerly with Edward Jones Barred by Indiana

Have you lost money with financial advisor Matthew Kerby of Paoli, Indiana?  We are continuing our investigation into allegations made against Matthew D. Kerby.  The Indiana Securities Commission barred Kerby from the securities industry.  Kerby was barred after he was the subject of an earlier action by FINRA, the Financial Industry Regulatory Authority. FINRA barred Kerby from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Kerby for allegations that he converted or misused his elderly customer’s funds.

Matthew Kerby was a financial advisor and registered representative of Edward Jones from 2007 to November 2017.  He worked at a branch office in Paoli, Indiana.  Matthew Kerby was also terminated by Edward Jones for this alleged conduct.

Brokerage firms like Edward Jones have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Indiana and in Indianapolis. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Edward Jones.

Click to view:  Kerby, Matthew Indiana Order

Click to view:  Kerby, Matthew FINRA AWC

Click to view:  Kerby, Matthew BrokerCheck 1.17.18

If you lost money with Matthew Kerby or Edward Jones, please CONTACT US at 720-599-3505 for a free evaluation of your case.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.