Advisor Alert: Our Attorneys Are Investigating Matthew Alexander Perry For Investment Fraud
Did You Lose Money Because of Matthew (Alex) Perry?
Filed: February 9, 2024
Matthew Perry (also known as Alex Perry) has been the subject of one (1) regulatory event and four (4) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Matthew Alexander Perry.
Who Is Matthew Alexander Perry?
- Advisor Name: Matthew Alexander Perry
- Aliases: Alex Perry
- CRD: 5985300
- Location: Columbia, Missouri
- Current Employer: No Longer Allowed to Practice in the Securities Industry
- Previous Firms: Stifel, Nicolaus & Company, Incorporated and Wells Fargo Advisors, LLC
- Number of Known Customer Complaints: 4
- Number of Known Regulatory Events: 1
- Can Matthew Perry Be Sued: Yes, in Private Arbitration
- Can Matthew Perry’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $140,000
- Highest Settlement: $138,000
If you have suffered investment losses by Matthew Perry, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Matthew (Alex) Perry For Broker Misconduct
As of this publication date, Matthew Perry has been the subject of 4 customer disputes and 1 regulatory event. Let’s review them below.
In October 2021, a FINRA arbitration was filed against or in reference to Matthew Perry by a customer of Stifel, Nicolaus & Company, Incorporated alleging fraudulent misrepresentation, negligent misrepresentation, breach of fiduciary duty, violation of RSMO Sections 409.5-509 and 409.5-501 (General Fraud), breach of the duty of suitability, unauthorized trading, and negligence. Per the customer, he/she lost over $140,000 because of Mr. Perry’s actions. On December 23, 2021, Mr. Perry settled the claim for $40,000, and some or all of this amount may have been paid by Mr. Perry’s employer and/or insurance carrier.
In June 2021, FINRA initiated a regulatory action against or in reference to Matthew Perry for refusing to produce documents and information and to appear for on-the-record testimony requested by FINRA in connection with its investigation that began after receiving a Uniform Termination Notice for Securities Industry Registration (Form U5) amendment from his member firm that disclosed a customer complaint alleging failure to follow the customer’s stated goals and failure to disclose risks associated with options trading.
In March 2020, a complaint was filed against or in reference to Matthew Perry by a customer of Stifel, Nicolaus & Company, Incorporated alleging that Mr. Perry made unauthorized and unsuitable trades, which resulted in losses. Per the customer, he/she lost over $77,000 because of Mr. Perry’s actions. On September 10, 2020, Mr. Perry settled the claim for $45,000, and some or all of this amount may have been paid by Mr. Perry’s employer and/or insurance carrier.
In December 2019, a complaint was filed against or in reference to Matthew Perry by a customer of Stifel, Nicolaus & Company, Incorporated alleging that trades were not authorized. Per the customer, he/she lost over $50,000 because of Mr. Perry’s actions. On May 22, 2020, Mr. Perry settled the claim for $10,000, and some or all of this amount may have been paid by Mr. Perry’s employer and/or insurance carrier.
In April 2019, a complaint was filed against or in reference to Matthew Perry by a customer of Stifel, Nicolaus & Company, Incorporated alleging that Mr. Perry did not follow customer’s stated goals and did not disclose risks associated with options trading. On May 9, 2019, Mr. Perry settled the claim for $138,000, and some or all of this amount may have been paid by Mr. Perry’s employer and/or insurance carrier.
How To File A Claim Against Matthew (Alex) Perry (previously with Stifel, Nicolaus & Company, Incorporated and Wells Fargo Advisors, LLC) To Get Your Money Back
If you have questions about Matthew Perry, Stifel, Nicolaus & Company, Incorporated, Wells Fargo Advisors, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.