Erez Law is currently investigating RBC Capital Markets broker Matthew Haverty (CRD# 4618183) regarding a pending customer complaint alleging over-concentration and unsuitable investment recommendations. He has been registered with RBC Capital Markets in Leawood, Kansas, since 2019. He was registered with Morgan Stanley in Leawood, Kansas, from 2009 to 2019.
Matthew Haverty Mr. Customer Complaints
He has been the subject of one customer complaint filed in April 2024, according to his CRD report:
May 2024. “Alleged overconcentration and unsuitability of international / emerging markets stock investments.” The customer is seeking $750,000 in damages, and the case is currently pending.
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, RBC Capital Markets may be liable for investment or other losses suffered by Matthew Haverty Mr.’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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