Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Clark (Clark), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $68,000.00 on July 07, 2023.
The client alleged the financial professional’s lack of due diligence resulted in an unauthorized distribution from his account to a third party without his knowledge or consent.