Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Grubb (Grubb), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grubb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $34,038.00 on December 09, 2025.
COMPLAINT ALLEGES VIOLATION OF REG-BI WITH RESPECT TO INVESTMENT RECOMMENDATION TO INVEST IN MUTUAL FUND 2021