Matthew Thomas Stratman (also known as Matthew T. Stratman and Matthew Stratman), a currently registered broker and investment adviser in Westlake Village, CA, is subject to customer dispute disclosures alleging unsuitability and negligence, among others, according to his Brokercheck Report.
Rosca Scarlato LLC attorney Alan Rosca and his colleagues are investigating the circumstances surrounding Stratman’s customer dispute disclosures. Investors who are concerned about their investments with Matthew Stratman may contact Alan Rosca and his colleagues for a free case evaluation or to provide any helpful information by calling 888-998-0530 toll free, emailing arosca@rscounsel.law, or through the contact form found on our website.
Customer Dispute Disclosures on Stratman’s Brokercheck
A customer dispute disclosure was reportedly processed in April of 2023 (Case #: 23-00769). The customer alleged negligence, misrepresentation, and omissions in connection to debt-corporate investment products and requested $100,000 in alleged damages.
Matthew Stratman was allegedly subject to a customer dispute disclosure filed in August of 2022 (Case #: 22-01709), which alleged unsuitability. The claimant requested $158,000 and the dispute is currently marked as settled for $10,000.
Both customer disputes reportedly indicate that Statman was employed by Western International Securities when the alleged activities occurred.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any Brokercheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog and are the governing materials in case of any inconsistencies or typos in this blog. Readers should note that sometimes brokers may be able to expunge past customer complaints from their Brokercheck record, such that complaints referenced as of the date of this blog may not necessarily be reflected in future versions of the Brokercheck record. While the customer complaints mentioned in the Brokercheck report allege misconduct by Matthew T. Stratman, the Brokercheck report does not appear to indicate whether he was a named party to those customer complaints, or the customers took action solely against the broker-dealer firm(s) that employed him at the time of the alleged conduct. Readers interested to learn more are encouraged to read the Brokercheck report or contact the Rosca Scarlato investor lawyers.
Concerned about investments with
Matthew Stratman Has Been a Registered Broker Since 2010
According to his Brokercheck, Matthew Stratman has been registered as a broker and investment adviser with Western International Securities, located in Westlake Village, California, since 2017.
From 2016 to 2017, Stratman reportedly served as a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated, in its Los Angeles, California offices. Stratman allegedly was a broker for AIG Capital Services, Inc., in Woodland Hills, California, from 2015 to 2016. From 2012 to 2015, Stratman reportedly was registered as a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated, in Torrance, California.
Potential Compensation Claims for Concerned Matthew Stratman Investors
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating circumstances surrounding currently registered broker and investment adviser Matthew Stratman’s customer dispute disclosures alleging unsuitability and negligence, among others.
Rosca Scarlato LLC law firm typically represents clients on a contingency fee basis. This means that it advances the case costs and expenses, and fees are only paid from any compensation retrieved for clients. Attorney Alan Rosca, an investment loss lawyer and former adjunct professor of securities regulation, has over 14 years of experience representing investors who have experienced investment loss due to broker misconduct.
Investors who are concerned about their investments with Matthew Stratman may contact attorney Alan Rosca for a free no-obligation consultation by calling toll-free 888-998-0530, via email at arosca@rscounsel.law, or through the contact form provided on our website.
