{"id":2585,"date":"2017-02-17T00:00:00","date_gmt":"2017-02-17T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/rhonda-janeen-matthews-no-longer-permitted-act-broker\/"},"modified":"2018-10-08T12:37:32","modified_gmt":"2018-10-08T16:37:32","slug":"rhonda-janeen-matthews-no-longer-permitted-act-broker","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/rhonda-janeen-matthews-no-longer-permitted-act-broker\/","title":{"rendered":"Rhonda Janeen Matthews Is No Longer Permitted to Act as a Broker"},"content":{"rendered":"<\/p>\n

\"Rhonda<\/p>\n

Prospera Financial Services, Inc. broker failed to respond to FINRA requests for information, resulting in a permanent ban from the industry<\/h2>\n

After 22 years in the securities industry, practicing both as a broker and an investment adviser, Rhonda Matthews\u2019 securities career is over. According to the Financial Industry Regulatory Authority\u2019s (FINRA) BrokerCheck report<\/span><\/a> on Matthews, she allegedly failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to FINRA\u2019s request to provide information concerning the status of compliance.<\/p>\n

Prior to her employment as a broker with Prospera Financial Services, Inc. from June 2013 to December 2015, Matthews was employed by Wells Fargo Advisors Financial Network, LLC in Austin, TX from January 2010 to June 2013. Matthews was discharged by Wells Fargo Advisors Financial Network for allegedly failing to follow firm policy regarding contacting customers prior to each trade.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Prospera Financial Services, Inc. broker failed to respond to FINRA requests for information, resulting in a permanent ban from the industry After 22 years in the securities industry, practicing both as a broker and an investment adviser, Rhonda Matthews\u2019 securities career is over. According to the Financial Industry Regulatory Authority\u2019s (FINRA) BrokerCheck report on Matthews, […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[9],"class_list":["post-2585","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-finra"],"yoast_head":"\nRhonda Janeen Matthews Is No Longer Permitted to Act as a Broker — Securities Arbitration Lawyers Blog — February 17, 2017<\/title>\n<meta name=\"description\" content=\"Check out the new article Rhonda Janeen Matthews Is No Longer Permitted to Act as a Broker on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/rhonda-janeen-matthews-no-longer-permitted-act-broker\/\" \/>\n<meta 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