Matt Ward, of Santa Monica, California, a stockbroker currently registered with Euro Pacific Capital, Inc., has been named in a customer initiated investment related written complaint on January 6, 2017, in which the customer requested $40,000.00 in damages based upon allegations that Ward, between 2015 and 2016, charged the customer with excessive commissions and effected stock and variable annuity purchases that were not suitable for the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Ward has been identified in three additional customer initiated investment related disputes containing allegations of his misconduct while employed with Maxwell Capital, Inc. and Euro Pacific Capital Inc. Between June 3, 1997 and June 12, 1997, two customer initiated investment related written complaints involving Ward’s conduct were settled for $50,818.24 in damages based upon allegations that Ward effected trades in the customers’ accounts without their consent.
Further, on June 8, 2016, a customer filed an investment related arbitration claim regarding Ward’s activities, where the customer requested $89,774.50 in damages based upon allegations that Ward churned the customer’s account, and effected over-the-counter equity transactions on an unauthorized and unsuitable basis.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
