DID MATTHEW C HAVERTY CAUSE YOU INVESTMENT LOSSES?
About Matthew Haverty of RBC Capital Markets, LLC?
Matthew Haverty (CRD #4618183) is a seasoned financial advisor currently affiliated with RBC Capital Markets, LLC in Leawood, Kansas, since February 8, 2019. He is registered with 22 Self-Regulatory Organizations and licensed in 12 U.S. states and territories. Throughout his career, Haverty has passed three general industry/product exams and one multi-state securities law exam but has not completed any principal/supervisory exams. His professional journey includes significant tenures at prominent firms like Morgan Stanley and UBS Financial Services, showcasing a robust background in securities and financial advisory services.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Matthew Haverty Customer Complaints and Reviews
Matthew Haverty has one disclosed customer dispute:
- Nature of the Dispute: This involves a customer complaint lodged on May 6, 2024, where the client alleges overconcentration and unsuitability regarding investments in international/emerging markets stocks, which purportedly did not align with the client’s investment objectives. The case, under FINRA docket number 24-00900, is currently pending.
Allegations Against Matthew Haverty
The specific allegations made against Matthew C. Haverty in the pending customer dispute include:
- Overconcentration: The client alleges that Haverty concentrated their portfolio excessively in international and emerging markets stocks, which was inappropriate given their investment profile.
- Unsuitability: The investments made are claimed to have been unsuitable for the client’s financial goals and risk tolerance, leading to potential financial detriment.
Matthew Haverty Red Flags & Your Rights As An Investor
Of course, Matthew Haverty did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Matthew Haverty at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Matthew Haverty has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Matthew Haverty
If you have questions about RBC Capital Markets, LLC and/or Matthew Haverty and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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