MATTHEW J NIELSEN is currently employed as a Broker and/or Investment Adviser at STONECREST CAPITAL MARKETS, INC. located at 45 N BROAD ST., SUITE 401, RIDGEWOOD, NJ, 07450.
MATTHEW J NIELSEN has worked at STONECREST CAPITAL MARKETS, INC. since April 17, 2015
Disclosure History
MATTHEW J NIELSEN has 6 Disclosure Event(s).
Date: November 11, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES HE WAS VICTIM OF UNSANCIONED, UNSUITABLE AND FRAUDULENT PRIVATE INVESTMENT CAUSING HIM TO SUFFER LOSSES. MISMANAGEMENT OF CLAIMANTS ACCOUNT Damage Amount Requested: $500,000.00 Settlement Amount: $131,635.00 Broker Comment: ON NOVEMBER 11, 2011, A CUSTOMER ARBITRATION CLAIM WAS COMMENCED AGAINST GENWORTH FINANCIAL SECURITIES CORPORATION AND ROYAL ALLIANCE ASSOCIATES, INC. SEEKING MONETARY DAMAGES IN THE AMOUNT OF $500,000.00 (CASE NO. 11-04143). THE COMPLAINT ALLEGED MISMANAGEMENT OF CLAIMANT'S ACCOUNT. BY WAY OF SETTLEMENT AGREEMENT DATED DECEMBER 08, 2014, RESPONDENTS AGREED TO PAY CLAIMANT THE SUM OF $131,635.00. MR. NIELSEN WAS PERSONALLY RESPONSIBLE FOR PAYMENT OF $7,500.00 OF THIS AMOUNT TO CLAIMANT. ROYAL ALLIANCE SETTLED AND AGREED TO PAY THE CLAIMANT THE SUM OF $14,000.00. MR. NIELSEN DENIES ALL ALLEGATIONS OF ANY WRONGDOING.
Date: April 07, 2011 Category: Judgment / Lien Judgment/Lien Amount: $3,085.00 Judgment/Lien Type: Tax Broker Comment: MR. NIELSEN IS CURRENTLY PAYING INSTALLMENTS TO REDUCE OUTSTANDING BALANCE WITH THE STATE OF NEW JERSEY DEPARTMENT OF TREASURY - DIVISION OF TAXATION.
Date: October 14, 2010 Category: Judgment / Lien Judgment/Lien Amount: $12,535.00 Judgment/Lien Type: Tax Broker Comment: MR. NIELSEN IS CURRENTLY PAYING INSTALLMENTS TO REDUCE OUTSTANDING BALANCE WITH THE STATE OF NEW JERSEY DEPARTMENT OF TREASURY - DIVISION OF TAXATION.
Date: June 17, 2010 Category: Judgment / Lien Judgment/Lien Amount: $15,012.00 Judgment/Lien Type: Tax Broker Comment: MR. NIELSEN IS CURRENTLY PAYING INSTALLMENTS TO REDUCE OUTSTANDING BALANCE WITH THE STATE OF NEW JERSEY DEPARTMENT OF TREASURY - DIVISION OF TAXATION.
Date: March 17, 2010 Category: Judgment / Lien Judgment/Lien Amount: $98,976.00 Judgment/Lien Type: Tax Broker Comment: MR. NIELSEN IS CURRENTLY PAYING INSTALLMENTS TO REDUCE OUTSTANDING BALANCE. MR. NIELSEN CURRENTLY HAS AN OFFER IN COMPROMISE WITH THE IRS FOR A TOTAL OF APPROXIMATELY $125,000 PAYABLE OVER THE NEXT 2-3 YEARS. ACCORDING TO MR. NIELSEN THE IRS INCREASED THE JUDGEMENT FROM $32,064 TO $98,000.00.
Date: March 04, 2010 Category: Judgment / Lien Judgment/Lien Amount: $9,349.00 Judgment/Lien Type: Tax Broker Comment: MR. NIELSEN IS CURRENTLY PAYING INSTALLMENTS TO REDUCE OUTSTANDING BALANCE WITH THE STATE OF NEW JERSEY DEPARTMENT OF TREASURY - DIVISION OF TAXATION.
More Information
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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.
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