MATTHEW STEVE KOCSIS is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 10955 WINDS CROSSING DRIVE, SUITE 100, CHARLOTTE, NC, 28273.
MATTHEW STEVE KOCSIS has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since August 23, 2011
MATTHEW STEVE KOCSIS has 2 Disclosure Event(s).
Date: January 28, 2013 Category: Customer Dispute Allegations: THE SUIT ALLEGES FAILURE TO DISCLOSE MATERIAL FACTS AND MISREPRESENTATION OF A PRIVATE PLACEMENT PROGRAM. Damage Amount Requested: $250,000.00 Settlement Amount: $152,500.00 Broker Comment: RR REMAINS THE CLIENT'S FINANCIAL ADVISOR. CLIENT'S ATTORNEY UNSCRUPULOUSLY ADDED RR AS NAMED PARTY DEFYING VERBAL AND WRITTEN INSTRUCTION FROM THE CLIENT, WILLFULLY IGNORING REQUESTS NOT TO ADD RR. WHEN CLIENT WAS INFORMED, CLIENT CONTACTED ATTORNEY TO HAVE RR DROPPED FROM THE SUIT, PAPERWORK TO DROP RR WAS SENT SAME DAY, RR WAS IMMEDIATELY DROPPED. RR RETAINS PAPERWORK SUPPORTING THE ABOVE STATEMENT. RR IS NOT LIABLE NOR FOUND TO HAVE ENGAGED IN ANY WRONGDOING.
Date: April 30, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE REPRESENTATIVE MISREPRESENTED THE SALE OF AN ALTERNATIVE INVESTMENT IN OCTOBER 2006. THE CLIENT SEEKS A REFUND OF THE TOTAL INVESTMENT. Damage Amount Requested: $44,800.00 Settlement Amount: $15,000.00 Broker Comment: CLIENTS PURCHASED A B/D APPROVED INTEREST IN NATURAL GAS WELL AFTER REVIEWING THE INFORMATION, PROSPECTUS, AND SUBSCRIPTION AGREEMENT FOR MORE THAN A WEEK. THE CLIENTS WERE AWARE OF THE RISKS AT THE TIME OF THE PURCHASE. RR LEFT FORMER B/D AND CLIENT'S ACCOUNTS DID NOT TRANSFER WITH HIM. RR HAS NO KNOWLEDGE OF WHO WAS RESPONSIBLE FOR MANAGING THE CLIENT'S ACCOUNTS UPON HIM LEAVING. COMPLAINT WAS DENIED TWICE BY B/D. CLIENTS HAVE A HISTORY OF FILING COMPLAINTS TO RECEIVE THEIR INVESTMENT BACK.
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