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Kenneth Mathieson, Raymond James, Named in FINRA Complaint

Raymond JamesKenneth Mathieson, Raymond James,  Named in FINRA Complaint.

Raymond James broker/adviser Kenneth Mathieson, of New York, has a pending FINRA complaint. The investment recovery lawyers at StockBrokerLawyer.com are ready to help additional customers recover their investment losses. complaints regarding Mr. Mathieson (CRD# 1730324).

Kenneth Mathieson has almost thirty years giving financial advice and has worked for Raymond James Financial Services, in New York, New York since 2014. Before that, he worked for Morgan Stanley in New York, New York (2009-2014) and other firms. He is a registered broker and investment adviser with 23 states and we believe he has many customers in Los Angeles, California, Los Gatos, California, La Jolla, California, Arizona, Florida, Utah, Florida and elsewhere.

According to the FINRA BrokerCheck report, Kenneth Mathieson was discharged from his position at Morgan Stanley, has one customer complaint and one pending regulatory complaint.

In March 2016 FINRA named Kenneth Mathieson respondent in a complaint alleging he engaged in private securities transactions “by investing $96,550 in a company’s stock for himself and his children without providing written notice to, and receiving prior approval from, his member firm,” Morgan Stanley Smith Barney. Mr. Mathieson allegedly also participated in the sale of shares of the company’s stock to other investors without obtaining permission from, or providing written notice to Morgan Stanley. The action remains pending. While a technical violation, disregarding these rules may be a sign of other issues.

In 2014 Kenneth Mathieson was discharged from Morgan Stanley following “concerns regarding [his] unapproved involvement in an outside company.” Broker discharge, even on narrow grounds, can be a warning sign or “red flag” of other issues.

If you have lost money investing with Kenneth Mathieson, whether at Morgan Stanley or Raymond James, call (888) 986-7199 or write the investment recovery lawyers at StockBrokerLawyer.com for a free no-cost consultation. We can help recover your losses and seek other damages, too.

You can use the email form or chat on StockBrokerLawyer.com You may be entitled to recover your losses. We work on contingency: we are paid only when you are paid. Time is limited; delay is the favorite defense of the brokerage firms. Call 888-986-7199 now to speak to an attorney for a no cost evaluation.


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