- January 25, 2022
- Edward Jones
Matthew Mierzycki (CRD#: 6102769) is a dually registered Broker and Investment Advisor at Ameriprise Financial Services, LLC in McAllen, TX.
He entered the securities industry in 2012 and previously worked for Edward Jones.
Current And Past Allegations Of Conduct Leading To Investment Loss
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2021, Matthew Mierzycki was discharged by Edward Jones. The allegation states, “Terminated due to violations of company policy in regard to discretionary orders.”
In addition, Matthew Mierzycki has been the subject of one customer complaint and has a series of financial related disclosures, including the following:
- June 2021 – A financial disclosure was satisfied/released.
- February 2020 – A financial settlement is pending.
- November 2019 – A financial settlement is pending.
- March 2016 – “The client alleges that the financial advisor did not properly inform her of the tax consequences associated with the liquidation of an American General annuity in January 2015.” The customer dispute was settled for $8,000.
For a copy of Matthew Mierzycki’s FINRA BrokerCheck, click here.
FINRA Rules require that Financial Advisers first obtain authorization from a client before placing trades in customer accounts. Without express authority, the trades are deemed unauthorized and subject the brokerage to liability for any losses incurred.
We Help Investors Recover Investment Losses
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
The Wolper Law Firm, P.A. represents investors nationwide in securities litigation and arbitration on a contingency fee basis. Matt Wolper, the Managing Principal of the Wolper Law Firm, P.A., is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters. We can be reached at (800) 931-8452 or by email at email@example.com.