2019064710601 Matthew Smith CRD 2688706 Complaint va (2022-1655338826938).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2019064710601 Department of Enforcement, Complainant, v. Matthew Smith CRD No. 2688706 Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Matthew Smith (“Smith”) twice failed to appear for on-the-record testimony requested by FINRA staff pursuant to FINRA Rule 8210. As a result, Smith violated FINRA Rules 8210 and 2010.
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