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Matt Haverty: RBC Advisor Lands $750K Complaint

Leawood, Kansas financial advisor Matt Haverty (CRD# 4618183) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets.

Mr. Haverty’s BrokerCheck report discloses one investor complaint. Filed in April 2024, it alleges that as a representative of RBC Capital Markets, he over-concentrated the customer’s account and recommended unsuitable investments in “international/emerging markets stock investments.” The pending complaint alleges damages of $750,000.

RBC Capital Markets’ website includes a profile of Mr. Haverty in which he describes his approach to wealth management. “I believe my approach is different from many other advisors for several reasons,” he explains. “I differentiate myself with a risk control overlay that, historically, has tapped into the psychology of the markets. The strategy recognizes that, for the majority of substantial market declines over the past three decades, global investors first get moderately apprehensive about stock market conditions before they get really apprehensive.”

According to the Financial Industry Regulatory Authority, Matt Haverty holds 21 years of securities industry experience. Based in Leawood, Kansas, he has been registered as a broker and an investment advisor with RBC Capital Markets since 2019. His past registrations include Morgan Stanley (Leawood, Kansas; 2009-2019), Morgan Stanley & Company (Kansas City, Missouri; 2008-2009), and UBS Financial Services (Overland Parks, Kansas; 2003-2008). His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in California, Colorado, Georgia, Illinois, Indiana, Kansas, Missouri, New York, Ohio, Oklahoma, Pennsylvania, and Texas. (Information current as of June 16, 2024.)

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.

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