Matthew Baltz— Alleged Misrepresentations

Matthew K. Baltz Allegedly Made Misrepresentations Regarding a Client’s Variable Annuity Benefits; $124,972.24 in Damages Requested

Matthew Baltz allegedly made misrepresentations regarding his client’s variable annuity benefits, according to a Pending Customer Dispute filed on Baltz’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.

The aforementioned dispute was filed on December 19, 2018, FINRA states, and is requesting $124,972.24 in damages.

Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Matthew Baltz’s alleged misrepresentations. Investors who believe they may have lost money in activity related to Matthew Baltz’s alleged misrepresentations are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Matthew K. Baltz Allegedly Made Misrepresentations of the Guaranteed Minimum Withdrawal Benefit on a Variable Annuity Contract; $109,368.00 in Damages Requested

Matthew Baltz allegedly made misrepresentations of the Guaranteed Minimum Withdrawal Benefit on a Variable Annuity Contract, according to a second Pending Customer Dispute filed on Baltz’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.

The aforementioned dispute was filed on April 18, 2018, FINRA states, and is requesting $109,368.00 in damages.

Matthew Baltz has 4 disclosures during his 22 years of experience in the securities industry, FINRA states, and has worked at 9 firms including the following:

• Cambridge Investment Research, Inc., Auburn, California— February 28, 2014 – December 31, 2017
• Investors Capital Corp., Auburn, California— August 17, 2011 – March 18, 2014
• Securities America, Inc., Auburn, California— January 23, 2009 – September 1, 2011
• Brecek & Young Advisors, Inc., Auburn, California— October 29, 2007 – January 23, 2009
• Multi-Financial Securities Corporation, Nevada City, California— July 18, 2007 – November 7, 2007
• Legacy Financial Services, Inc., Nevada City, California— July 17, 2001 – July 18, 2007
• National Planning Corp., Los Angeles, California— December 15, 1999 – July 18, 2001
• First Allied Securities, Inc., San Diego, California— August 5, 1999 – January 5, 2000
• Sun America Securities, Inc., Phoenix, Arizona— July 13, 1995 – July 30, 1999

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.

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Matthew Baltz’s alleged misrepresentations. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Matthew Baltz’s alleged misrepresentations may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

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