RUTH MARY MATT

RUTH MARY MATT is currently employed as a Broker and/or Investment Adviser at COMMONWEALTH FINANCIAL NETWORK located at 22 FREE STREET, SUITE 201, PORTLAND, ME, 04101.

RUTH MARY MATT has worked at COMMONWEALTH FINANCIAL NETWORK since September 03, 2010

Disclosure History

RUTH MARY MATT has 1 Disclosure Event(s).

Date: January 16, 2014
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT REGISTERED REPRESENTATIVE "SWIPED" MONEY FROM HER IN 1988.
Damage Amount Requested: $11,000.00
Broker Comment: CUSTOMER'S ALLEGATIONS THAT REGISTERED REPRESENTATIVE "SWIPED" $11000.00 FROM HER ACCOUNT MORE THAN 25 YEARS AGO, DO NOT APPEAR TO HAVE ANY MERIT.

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 RUTH MARY MATT, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.