Matt Clark: Principal Securities Advisor Lands Investor Complaint

Dublin, Ohio financial advisor Matt Clark (CRD# 1319815) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Principal Securities.

Mr. Clark’s BrokerCheck report discloses two investor complaints. The most recent, filed in April 2026, alleges that as a representative of Principal Securities, he provided incorrect information relating to a variable life insurance policy, resulting in damages. The pending complaint alleges unspecified damages.

An earlier investor complaint, filed in 2023, alleged that as a Principal Securities representative, his “lack of due diligence resulted in an unauthorized distribution” from the customer’s account to a third party. The complaint reached a settlement of $68,306.80.

Investors should be aware that FINRA rules prohibit brokers from providing misleading information regarding the products they recommend, an act commonly referred to as “misrepresentation.” FINRA Rule 2020 specifically stipulates that brokers may not “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” Brokers who make misrepresentations regarding their investment recommendations may cause their clients to purchase unsuitable products, in violation of FINRA Rule 2111. Representatives who misrepresent and/or recommend unsuitable investments may be held liable for damages in the event of losses.

According to the Financial Industry Regulatory Authority, Matt Clark holds 38 years of securities industry experience. Based in Dublin, Ohio, he has been registered as a broker and an investment advisor with Principal Securities since 2004. His registration history includes Princor Financial Services, National Planning Corporation, the Great-West Life Assurance Company, BC Christopher Securities Company, and Morison Securities. 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 Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6. He holds 14 state licenses. (Information current as of June 4, 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.