RedFlag, Allegation and/or Complaint against ROY MATHEW
Disclosure #1 for ROY MATHEW
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- Event Date: 5/3/2003
- Disclosure Type: Criminal
- Resolution: Final Disposition
- Criminal Charges :: Charges: DWI
- Disposition: Convicted
- Broker Comment: This was a conviction for Driving While Intoxicated. It helped me to learn a valuable lesson and change my life. I have not had any incidents since that time over 13 years ago and have had a very successful career and family life since that time.
Should I file a FINRA complaint against brokers like ROY MATHEW?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally posted on November 17, 2022 @ 9:04 pm
