Rhonda Janeen Matthews, of Austin, Texas, a stockbroker formerly registered with Prospera Financial Services, Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on allegations that she failed to provide FINRA with a response to FINRA personnel’s information request. Letter No. 2015048158201 (Sept. 19, 2016).
FINRA Public Disclosure reveals that Matthews was previously suspended by FINRA based on allegations that she failed to comply with FINRA’s request concerning her compliance with a settlement agreement or arbitration award pursuant to a customer initiated investment related dispute. Case No. 15-01070 (Mar. 23, 2016). However, the case was a case against Ms. Matthews by Raymond James, a member firm. Now either she borrowed money from Raymond James, or failed to repay an upfront loan, or Raymond James paid to settle a customer complaint, which she agreed to pay back, but never did.
Prior to her association with Prospera Financial Services, Inc., Matthews was associated with Wells Fargo Advisors Financial Network, LLC. She was terminated from Wells Fargo on May 30, 2013, based upon allegations that Matthews did not communicate with the firm’s customers prior to effecting trades in their accounts.
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