The Financial Industry Regulatory Authority (FINRA) has accused Matthew Westfall of making unsuitable investment recommendations and negligent misrepresentations. He was also accused of “engaging in business activities outside the scope of his employment with his firm. FINRA specifically alleged that he “solicited and accepted funds from firm customers to purchase Iraqi dinar currency as an investment and purchased dinars through a personal account that he had with an online company that sold dinars,” without firm approval. He also allegedly recommended an unsuitable variable annuity investment. These are all against securities rules.
Westfall was registered with IDS, American Express, Invest Financial Corp, Edward Jones, VSR, SunAmerica, Securities America, National Planning Corp and Primex in new York, New York from May 2013 until December 2013. He has four customer disputes against him and is currently not registered. Please call 312-332-4200 today if you lost money with Mr. Westfall. We may be able to help you reclaim your losses on a contingency fee basis.
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