JONATHAN DAVID MATUSZKIEWICZ is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 13 KANAWHA BLVD WEST, SUITE 201, CHARLESTON, WV, 25302.
JONATHAN DAVID MATUSZKIEWICZ has worked at NYLIFE SECURITIES LLC since November 06, 2012
Disclosure History
JONATHAN DAVID MATUSZKIEWICZ has 7 Disclosure Event(s).
Date: February 13, 2017 Category: Judgment / Lien Judgment/Lien Amount: $5,109.00 Judgment/Lien Type: Tax Broker Comment: CIVP Tax Period 2011 and 2012.
Date: August 11, 2016 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: February 11, 2015 Category: Regulatory Initiated By: WEST VIRGINIA SECURITIES DIVISION Allegations: OFFERING INVESTMENT ADVICE IN THE COURSE OF SELLING VARIABLE ANNUITIES IN CONTRAVENTION OF THE POLICY OF THE SECURITIES DIVISION. Resolution: Consent Sanctions: REGISTRATIONS WERE APPROVED WITH RESTRICTIONS PENDING PASSING THE SERIES 65 AND REGISTERING AS AN INVESTMENT ADVISER. BOTH WERE COMPLETED PRIOR TO ENTRY OF THE CONSENT ORDER. Broker Comment: ON 2/9/2015 REGISTRATIONS WERE APPROVED WITHOUT ANY RESTRICTIONS BASED ON MR. MATUSZKIEWICZ PASSING THE SERIES 65 AND REGISTERING AS AN INVESTMENT ADVISER.
Date: October 24, 2013 Category: Financial Type: Compromise Disposition: Compromise
Date: September 09, 2005 Category: Criminal Charges: WORTHLESS CHECK Disposition: Dismissed Broker Comment: A MISCALCULATION ON MY END. ONCE AWARE OF THE WORTHLESS CHECK AND PENALTY I PAID THE CHECK AND MAGISTRATE COURT, THEN THE CASE WAS DISMISSED.
Date: August 02, 2005 Category: Criminal Charges: WORTHLESS CHECK Disposition: Dismissed Broker Comment: AS A MISCALCULATION ON MY END. I BOUNCED A CHECK AND IT BECAME WORTHLESS. ONCE I WAS AWARE I PAID THE PENALTIES AND FINES, THEN THE CASE WAS DISMISSED.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for JONATHAN DAVID MATUSZKIEWICZ, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.