Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Thompson (Thompson), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 $44,000.00 on February 22, 2023.
Customer alleged August 18, 2021 sale of GNMA bond was unsuitable.