FINRA public records, show three disclosed customer disputes against broker Matthew Jordan Werthe. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms.
Customers filed claims against Matt Werthe between August 2016 and April 2018. The claims are pending and request damage amounts of $252,641, $362,000, and $728,000. Records state that allegations include fraud, excessive trading, churning, unauthorized trading, unsuitability, breach of contract, negligence, unjust enrichment, suitability, and failure to supervise. One of the claims alleges a customer “invested heavily in oil and equities and the investments were too aggressive given her age and investment time horizon.”
Werthe has been employed by Raymond James Financial Services, Inc. since January 2013 and was previously employed by Edward Jones from June 2009 through January 2013.
If you have questions about your investments with Matt Werthe, contact Marquardt Law Office LLC for a free phone consultation.
Marquardt Law Office LLC is a securities law firm that represents investors nationwide who have suffered losses due to misconduct such as fraud and negligence.
Information regarding Matthew Jordan Werthe was obtained from FINRA BrokerCheck records accessed on June 11, 2018.