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Matthew Stratman: Bond Complaint Against Western International Advisor

Los Angeles-area financial advisor Matthew Stratman (CRD# 5834026) is involved in an investor complaint alleging his advice resulted in six-figure losses. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker and an investment advisor with Western International Securities, having previously been registered with Merrill Lynch.

Mr. Stratman’s BrokerCheck report discloses one investor complaint. Filed in August 2022, it alleges that as a representative of Western International Securities, he recommended an unsuitable corporate bond investment. The pending complaint alleges damages of $158,000.

Investors should be aware that FINRA Rule 2111, also known as FINRA’s suitability rule, mandates that financial advisors like Mr. Stratman recommend only investments and strategies that are in keeping with a given client’s background and objectives. To make this determination, they must consider the investor’s risk tolerance, age, tax status, income, investment experience, financial needs, and other factors. More information about this standard is available via this investor resource.

According to the Financial Industry Regulatory Authority, Matthew Stratman holds eleven years of securities industry experience. Based in Westlake Village, California, he has been a broker and an investment advisor with Western International Securities since 2017. His registration history includes Merrill Lynch (Los Angeles, California; 2016-2017), AIG Capital Services (Woodland Hills, California; 2015-2016), Merrill Lynch (Torrance, California; 2012-2015), and AXA Advisors 9Irvine, California; 2010-2011). His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in California, Colorado, Pennsylvania, and Utah. (Information current as of March 16, 2023.)

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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