February 2021 – Fort Worth, TX
According to publicly available records Matthew B. Nekuza (CRD#6332114), a former stockbroker who last worked for Charles Schwab & Co. Inc., has been permanently barred from FINRA.
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, Nekuza was permanently barred after FINRA alleged that he converted member firm funds by obtaining approximately $20,846 in goods and services which were personal expenses that he charged to his firm-issued credit card. The findings stated that, Nekuza knew that the personal expenses were not reimbursable under any firm policy. Also, while associated with another FINRA member firm, Nekuza falsely reported to the credit card company that his card had been fraudulently used by an individual other than himself to make charges. The findings also stated that he submitted false written responses to FINRA about the charges and provided false testimony to FINRA about the charges. FINRA case #2018060308502 .
Nekuza worked with Charles Schwab & Co., Inc. from September 2018 until November of 2020. Before that he was with TD Ameritrade, Inc..
If you had an account with Matthew Nekuza that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your options.
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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