Matthew T. Jennings Investigation
August 2021- St. Louis, MO
According to publicly available records, Matthew Thomas Jennings a broker previously employed with Edward Jones discloses a prior regulatory event, a termination from employment and a tax lien.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In November of 2020, in FINRA case #2019063586701, Jennings consented to the sanctions and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with an investigation that originated from a Form U5 filed by his member firm terminating his registration due to concerns that he introduced clients to an investment not offered though the firm. The findings stated that after initially responding to FINRA’s requests, ultimately Jennings ceased cooperating with the securities regulator. Sanctions were a permanent bar from FINRA in all capacities.
In July of 2019, Jennings was discharged from employment with Edward Jones , where he had been employed since 5/2017, after allegations that he introduced clients to an investment not offered through the firm.
In March of 2017 the Internal Revenue Service filed a tax lien against Jennings in the amount of $72,822 representing taxes for 2013, 2014, and 2015.
If you have losses in an account handled by Matthew Jennings, call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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