Erez Law is currently investigating former Baker Tilly Capital, LLC broker Matthew Smith (CRD# 1419716) regarding private placement losses. He was registered with Arete Wealth Management, LLC in Chicago, Illinois, from 2022 to 2025, S2K Financial LLC in Orlando, Florida, from 2021 to 2022, Baker Tilly Capital, LLC in Madison, Wisconsin, from 2019 to 2021, Triloma Securities, LLC in Winter Park, Florida, from 2018 to 2019, Sequence Financial Specialists LLC in Florence, South Carolina, and Shopoff Securities, Inc. in Irvine, California, from 2015 to 2018.
Matthew Smith Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
March 2025. “The claimant invested in a private placement 12/22/2020 and now claims that the investment was unsuitable.” The customer is seeking $200,000 in damages, and the case is currently pending. The complaint took place while he was registered with Baker Tilly Capital, LLC.
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, Baker Tilly Capital, LLC may be liable for investment or other losses suffered by Matthew Smith’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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