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Matthew Wesley Violated FINRA’s Suitability Rules

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Matthew WesleyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 7, 2017 indicate that New York-based Joseph Gunnar & Company broker Matt Wesley is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wesley (CRD# 5745136).

Matthew Wesley has spent seven years in the securities industry and has been registered with Joseph Gunnar & Company in New York, New York since 2011. He was previously registered with Maxim Group in New York, New York (2010). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 8, 2010, and Series 7 (General Securities Representative Examination), which he obtained on February 1, 2010. He is registered as a broker with 21 US states and territories: California, Connecticut, Delaware, Florida, Idaho, Illinois, Iowa, Maryland, Massachusetts, Michigan, Minnesota, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Texas, Utah, Virginia, Washington and Wisconsin. He is registered with two self-regulatory organizations: FINRA and the Nasdaq Stock Market.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

In August 2017 a customer alleged Matthew Wesley, while employed at Joseph Gunnar & Company, violated FINRA’s suitability rules, churned investments, and breached his fiduciary duty between August 2011 and March 2015 in connection to investments in common and preferred stock products. The customer is seeking more than $49,100 in damages in the pending complaint.

In 2014 a customer alleged Matthew Wesley, while employed at Joseph Gunnar & Company, provided poor investment directions and recommended investments that suffered declines. The complaint settled for $4,500.

If you or someone you know has complaints regarding Matthew Wesley, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited by law, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.