Were you the victim of A.G.P. / Alliance Global Partners broker Matt Ward (CRD# 2075525)? He has been registered with A.G.P. / Alliance Global Partners in Santa Monica, California, since 2012.
In February 2024, FINRA sanctioned him to pay a $5,000 civil and administrative penalty and fine and suspended him for 15 days after he “consented to the sanctions and to the entry of findings that he exercised discretion in customer accounts without prior written authorization to do so from any of the customers and without his member firm having accepted any of the accounts as discretionary. The findings stated that Ward effected trades in the customer accounts without first speaking to the customers prior to execution on the date of the transactions. Ward’s customers knew that he was exercising discretion in their accounts.”
Matt Ward Customer Complaints
He has been the subject of two customer complaints between 2016 and 2026, according to his CRD report. The most recent complaint was regarding:
May 2026. “Breach of fiduciary duty.” The customer is seeking $499,999 in damages, and the case is currently pending. The complaint was regarding equity OTC, and it took place while he was registered with A.G.P. / Alliance Global Partners.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, A.G.P. / Alliance Global Partners may be liable for investment or other losses suffered by Matt Ward’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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