Last Updated: January 2024 (Round Rock, TX )
Matthew Mierzycki Investigation Summary
Here’s what you need to know about Round Rock, TX, stockbroker Matthew Mierzycki:
- Name: MR. Matthew Thomas Mierzycki
- Current Employer: Suspended by FINRA
- Previous Firms: Ameriprise Financial Services, Edward Jones (McAllen, TX)
- Function: Stock Broker/ Financial Advisor
- Aliases: Matthew Mierzycki
- Primary Location: Round Rock, TX
- CRD 6102769
- Can Matthew Mierzycki be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
- Discharged by a prior employer: Yes
- Highest Settlement or Award: $8,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Matthew Mierzycki As Your Stockbroker?
In 12/2023 Matthew Mierzycki was suspended for four months, beginning 1/2/2024, and fined $10,000 for exercising discretion (trading without authority) in numerous customer accounts which were not discretionary accounts. In addition FINRA found that Mierzycki failed to timely disclose compromises with creditors on his Form U4.
IN 2016 a customer of Edward Jones was paid $8,000 to resolve allegations that Mierzzycki did not properly inform her of the tax consequences associated with the liquidation of an American General Annuity.
Edward Jones discharged Mierzycki in 10/2021 for violations of company policy in regard to discretionary orders.
Allegations of Broker Misconduct Against Matthew Mierzycki
A customer of Matthew Mierzycki and FINRA have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unauthorized trading
- Failure to provide proper tax advice with regard to liquidation of an annuity
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Matthew Mierzycki, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
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.
