Austin, Texas
According to FINRA records, Rhonda Janeen Matthews (aka Rhonda Allen) , a former stockbroker who most recently worked for Prospera Financial Services , discloses a regulatory event, a termination and 2 outstanding judgments/liens.
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.
Matthews discloses that in 3/2016 she was suspended by FINRA for “failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance”.
Matthews discloses that in 5/2013 she was discharged from Wells Fargo Advisors, who alleged that Matthews “failed to follow firm policy regarding the contacting of customers prior to each trade”.
Matthews was employed by Prospera Financial Services from 6/2013-12/2015. Her prior employment includes Wells Fargo Advisors and Raymond James Financial.
If you have questions about an account handled by Rhonda J. Matthews, call for a no charge consultation.
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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