Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Matthews (Matthews), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Matthews 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 $22,751.00 on October 14, 2020.
Client alleges the representative did not follow instructions provided on August 4, 2020 to cancel the 2020 Required Minimum Distribution which resulted in an additional $22,751 tax obligation.