Last Updated: November 2025 — Melville, NY
Here’s what you need to know about Melville, NY stockbroker Matthew Winthrop:
- Name: Matthew Winthrop
- Current Employer: Aegis Capital Corp. (CRD #15007). Registered since September 25, 2025. Primary branch listed at 1305 Walt Whitman Rd., Suite 120, Melville, NY 11747; additional branch in Easton, CT.
- Prior Firms: Equitable Advisors, LLC (01/2022–09/2025); Aegis Capital Corp. (10/2017–02/2022); RBC Capital Markets, LLC (07/2011–10/2017); Oppenheimer & Co. Inc. (08/2007–07/2011); H&R Block Financial Advisors, Inc. (2002–2007); UBS PaineWebber Inc. (1998–2002); Prudential Securities Inc. (1995–1998); Dean Witter Reynolds Inc. (1994–1995).
- Other Business Affiliations: CT Grateful Dead All Stars, Easton, CT — Musical Director; live shows
- CRD number: 2445102.
- Stockbroker / Financial Advisor: Yes — registered with multiple SROs; holds Series 7, SIE, Series 31, Series 24 (principal), Series 63, and Series 66.
- Can Broker be Sued in FINRA: Yes
- Discharged by a Prior Employer: Yes
- Highest Award or Settlement: $50,000
If you’ve sustained damages from Mr. Winthrop, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Matthew Winthrop As Your Stockbroker?
- April 2015 (U.S. District Court, Southern District; Dkt. No. 1:15-CIV-340) — Customer of prior employer Oppenheimer alleged Winthrop mishandled an IRA distribution and an unspecified unauthorized trade.; settled October 2015 for $50,000
- May 2003 written complaint (UBS PaineWebber Inc.) — Alleged unauthorized trading, excessive trading, and unsuitable investments (OTC equities); alleged damages $86,000; status Denied by firm.
- March 2002 written complaint (PSI) — Alleged misrepresentation of investments/risks over 5 years; alleged damages $50,000; status Denied by firm.
- November 1999 written complaint (Prudential Securities Inc.) — Alleged purchase of stock without knowledge; alleged damages $21,777; status Denied by firm.
- July 1998 complaint (Prudential Securities) — Alleged excessive/speculative trading and poor allocation; alleged damages $55,834; status Closed/No Action, customer did not pursue further.
In 9/2025 Equitable Advisors discharged Mr. Winthrop for excessive trading in client brokerage accounts.
What is Excessive Trading (Churning)?
Churning According to U.S. Securities and Exchange Commission (SEC)
Other Investigations Involving Churning
Allegations of Broker Misconduct Against Matthew Winthrop
- Unsuitability — Recommending investments inconsistent with a customer’s objectives/risk tolerance may violate FINRA Rule 2111 (Suitability); for retail recommendations today, the SEC’s Regulation Best Interest (Exchange Act Rule 15l-1) also imposes a best-interest obligation.
- Excessive Trading/ Churning
- Unauthorized Trading — Entering trades without prior customer authorization and firm approval can violate FINRA Rule 3260 (Discretionary Accounts) and FINRA Rule 2010.
Other Cases Involving Unauthorized Trading
Recover Your Investment Losses Now With Rex Securities Law
More information on other investigations of Aegis Capital brokers
Our Investigations of other Brokers who worked for Equitable Advisors
If you have suffered investment losses in an account handled by Matthew Winthrop, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
Firms We Have Pursued On Behalf of Our Clients
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.