Last Updated: November 2023 (Houston, Texas)
Matt West Investigation Summary
Here’s what you need to know about Houston, Texas, stockbroker Matt West:
- Name: Mr. Matthew Brooke West
- Current Employer: USCA Securities/ U S Capital Wealth Advisors (RIA)
- Previous Firms: UBS Financial Services, Merrill Lynch Pierce Fenner & Smith
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Matt West
- Primary Location: Houston, TX
- CRD 2554449
- Can Darwin Junior Dees be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Customer Complained of $3.5 Million Loss- Firm Denies Claim
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Matt West As Your Stockbroker?
In 10/2023 a customer of USCA Securities complained that Matt West mismanaged their account causing losses of $3.5 million. The firm ‘denied’ the claim and at the current time it does not appear that the customer has pursued the matter any further.
Has Your Brokerage Firm “Denied” Your Claim for Damages Due to Stockbroker Malpractice?
It is quite common, as well as predictable, for brokerage firms to deny a customer’s complaint made directly to the company. Firms know that in many, if not most, instances telling the customer “we don’t think it’s our fault” will be an end to the problem. In other words, it’s generally a waste of your time to sit down with the office manager & the broker.
They seldom, if ever, offer any resolution or if they do, will attempt to have you resolve your case for a fraction of what it is actually worth.
We suggest that if you think there is a problem with the way your account has been handled, or if you have had your claim “denied”, talk to an experienced securities attorney
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 Matt West, 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.
