Matt Ward: $499K Complaint Against AGP Advisor

A recent investor complaint against Santa Monica, California financial advisor Matt Ward (CRD# 2075525) alleged that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Alliance Global Partners.

Mr. Ward’s BrokerCheck report discloses two investor complaints. The most recent, filed in May 2026, alleges that as a representative of Alliance Global Partners, he breached his fiduciary duty. The pending complaint alleges damages of $499,999.

An earlier investor complaint, filed in 2016, alleged that as a representative of Euro Pacific Capital, he made unsuitable recommendations, executed unauthorized transactions, and churned investments in the account. The complaint reached a settlement of $25,000.

A third disclosure on his BrokerCheck report concerns a FINRA disciplinary action against him. Filed in 2024, it alleged that he “exercised discretion in customer accounts without prior written authorization to do so from any of the customers and without his member firm having accepted any of the accounts as discretionary.” As a result of these findings, FINRA suspended him for 15 days and ordered him to pay a fine of $5,000.

According to the Financial Industry Regulatory Authority, Matt Ward holds 35 years of securities industry experience. Based in Santa Monica, California, he has been registered as a broker and an investment advisor with Alliance Global Partners since 2012. His past registrations include National Securities Corporation, Maxwell Capital, Merrill Lynch, Sutro & Company, Smith Barney Shearson, and Lehman Brothers. His credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; the General Securities Principal Examination, or Series 24; and the General Securities Representative Examination, or Series 7. He holds 51 state licenses. (Information current as of June 28, 2026.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.