MATTHEW JAY CARUSO is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 33 AIR PORT CENTER DRIVE, SUITE 105, NEW WINDSOR, NY, 12553.
MATTHEW JAY CARUSO has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since June 01, 2010
Disclosure History
MATTHEW JAY CARUSO has 3 Disclosure Event(s).
Date: March 27, 2017 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: December 17, 2014 Category: Customer Dispute Allegations: CLIENT ALLEGES HE WAS MOVED TO A VARIABLE ANNUITY THAT WAS LESS SUITABLE Damage Amount Requested: $120,000.00 Broker Comment: THE CLIENT EXPLICITLY AGREED WITH RR'S RECOMMENDATION TO TRANSFER THEIR INVESTMENT TO THE NEW PRODUCT. IT WAS CONFIRMED DURING A CONVERSATION WITH THE CLIENT AND HIS NEW FINANCIAL ADVISOR, WHICH OCCURRED 6 WEEKS AFTER THE CLIENT SIGNED THE APPLICATION FOR THE NEW PRODUCT, A TIME PERIOD DURING WHICH THE CLIENT COULD HAVE CONTACTED RR IF THEY HAD ANY CONCERNS ABOUT THE TRANSACTION.
Date: December 11, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released
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