RedFlag, Allegation and/or Complaint against MATTHEW WALKER TOWNLEY
Disclosure #1 for MATTHEW TOWNLEY
- Event Date: 4/30/1998
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: CALIFORNIA INSURANCE DEPARTMENT
- Allegations: REGISTERED REPRESENTATIVE FAILED TO COMPLETE HIS STATE OF CA INSURANCE CONTINUING EDUCATION REQUIREMENTS BY APRIL 30, 1998. BECAUSE THE COURSE ATTENDED WAS NOT APPROVED BY THE STATE OF CALIFORNIA AND UNTIL AFTER THE MEETING. THE REGISTERED REPRESENTATIVE DID NOT RECEIVE 3 CREDITS AS EXPECTED.
- Resolution: Decision
- Sanction Details :: Sanctions: Revocation/Expulsion/Denial
- Sanction Details: REGISTERED REPRESENTATIVE WAS PENALIZED $56 DUE TO CONTINUING EDUCATION HOURS BEING LATE AND THE LICENSE WAS REVOKED AFTER 60 DAY GRACE PERIOD EXPIRED (6-30-98). NEW CALIFORNIA INSURANCE LICENSE WAS ISSUED AS OF JUNE 29, 1998.
- Broker Comment: Not Provided
Should I file a FINRA complaint against brokers like MATTHEW WALKER TOWNLEY?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by MATTHEW WALKER TOWNLEY’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
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Frequently Asked Questions About MATTHEW WALKER TOWNLEY
What is MATTHEW TOWNLEY’s Central Registration Depository (CRD) Number?
Which firm is MATTHEW WALKER TOWNLEY associated with?
THRIVENT INVESTMENT MANAGEMENT INC.
Where is MATTHEW TOWNLEY located?
118 LEE PARKWAY DR, CHATTANOOGA, TN, 37421
Where can I find more details about MATTHEW TOWNLEY’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/18387 to read a detailed report for THRIVENT INVESTMENT MANAGEMENT INC.
Are there any disclosures, allegations or complaints filed against MATTHEW WALKER TOWNLEY?
Where can I download a detailed FINRA report for MATTHEW TOWNLEY?
Is it safe to do business with MATTHEW WALKER TOWNLEY?
We’re not sure. Please research MATTHEW TOWNLEY’s disclosures, allegations and complaints before taking a decision
Originally reported on November 17, 2022 @ 8:41 pm
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