Securities Lawyers Blog
Alternative investment losses, REIT investment losses, DST investment losses, leveraged ETF losses, and other retirement investment losses are frequently traced to recommendations that were unsuitable for the investor. The investment loss lawyers at Gana Weinstein LLP represent customers of brokerage firms such as The Jeffrey Matthews Financial Group, L.L.C. in FINRA arbitration claims to recover losses in these products. If you are wondering whether you can sue for investment losses or recover losses from a financial advisor, our attorneys can review your accounts and give you a clear answer.
The Jeffrey Matthews Financial Group is a full-service broker-dealer that trades municipal, corporate and government bonds on a principal basis and handles equity, mutual fund and ETF transactions, retirement plans and insurance products for retail investors. Established in New Jersey in 1996 and headquartered in Florham Park, the firm clears its accounts through RBC Clearing and Custody.
The Jeffrey Matthews Financial Group, L.L.C. – By the Numbers:
- CRD #: 41282
- Regulatory Events: 7
- Arbitration Events: 2
- Broker Employees: 37
The Jeffrey Matthews Financial Group, L.L.C. – In the News:
FINRA v. The Jeffrey Matthews Financial Group, L.L.C. (Case #2021070602901) – Between April 2020 and June 2023, The Jeffrey Matthews Financial Group violated FINRA Rules 2121 and 2010 and MSRB Rules G-30 and G-17 by charging unfair prices in 12 corporate bond transactions and 86 municipal bond transactions. During the same period, and continuing through the present, the firm failed to establish and maintain a supervisory system reasonably designed to achieve compliance with its fair pricing obligations, in violation of FINRA Rules 3110 and 2010 and MSRB Rule G-27.
FINRA v. The Jeffrey Matthews Financial Group, L.L.C. (Case #2023077092001) – From June 30, 2020, until March 2023, JMFG failed to establish, maintain, and enforce written policies and procedures reasonably designed to achieve compliance with Securities Exchange Act Rule 15l-1(a)(1) (Regulation Best Interest or Reg BI). As a result, JMFG willfully violated Exchange Act Rule 15l-1(a)(1) and Municipal Securities Rulemaking Board (MSRB) Rule G-27 and violated FINRA Rules 3110 and 2010. During the same period, JMFG also failed to establish and maintain written supervisory procedures (WSPs) reasonably designed to achieve compliance with its Exchange Act Rule 17a-14 obligations to prepare, file, deliver, and update its customer relationship summary (Form CRS). As a result, JMFG willfully violated MSRB Rule G-27 and violated FINRA Rules 3110 and 2010.
Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your The Jeffrey Matthews Financial Group, L.L.C. accounts. Our consultations are free and we welcome all inquiries.