MATTHEW JOSEPH CONTI is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 16100 NW CORNELL ROAD #240, BEAVERTON, OR, 97006.
MATTHEW JOSEPH CONTI has worked at LPL FINANCIAL LLC since June 10, 2014
Disclosure History
MATTHEW JOSEPH CONTI has 3 Disclosure Event(s).
Date: December 14, 2015 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES THAT THE REGISTERED REPRESENTATIVE PROVIDED POOR ADVICE WHEN RECOMMENDING A THIRD PARTY INVESTMENT ADVISOR. Damage Amount Requested: $187,072.00 Settlement Amount: $21,272.00
Date: March 07, 2014 Category: Employment Separation After Allegations Firm Name: FIDELITY BROKERAGE SERVICES LLC Termination Type: Discharged Allegations: ALLEGATIONS THAT EMPLOYEE WAS REFERRING CLIENTS TO A THIRD-PARTY ADVISOR, WHICH PARTICIPATED IN THE FIRM'S REFERRAL SYSTEM, WITHOUT FOLLOWING THE FIRM'S REFERRAL GUIDELINES IN AN EFFORT TO BUILD A BUSINESS AT AND OBTAIN EMPLOYMENT WITH THE THIRD PARTY ADVISOR.
Date: March 07, 2014 Category: Employment Separation After Allegations Firm Name: FIDELITY BROKERAGE SERVICES LLC Termination Type: Discharged Allegations: ALLEGATIONS THAT EMPLOYEE WAS REFERRING CLIENTS TO A THIRD-PARTY ADVISOR, WHICH PARTICIPATED IN THE FIRM'S REFERRAL SYSTEM, WITHOUT FOLLOWING THE FIRM'S REFERRAL GUIDELINES IN AN EFFORT TO BUILD A BUSINESS AT AND OBTAIN EMPLOYMENT WITH THE THIRD PARTY ADVISOR.
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