Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has initiated an independent investigation into the conduct and disclosure history of Matt Ward (CRD# 2075525), a registered broker and investment advisor with Alliance Global Partners in Santa Monica, California. Our attorneys have identified several notable investor complaints and regulatory findings regarding Mr. Ward, which may represent significant red flags for current or former clients. If you have experienced investment losses related to this advisor, we strongly encourage you to reach out for a free, confidential consultation at 1-888-885-7162.
Who Is Matt Ward? An Overview for Investors
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Matt Ward is a financial advisor with 35 years of securities industry experience, currently registered with Alliance Global Partners in Santa Monica, California. Throughout his tenure, Mr. Ward has been associated with multiple broker-dealers, including:
- Alliance Global Partners (since 2012)
- National Securities Corporation
- Maxwell Capital
- Merrill Lynch
- Sutro & Company
- Smith Barney Shearson
- Lehman Brothers
He maintains registration as both a broker and an investment advisor, holding 51 state licenses and having passed the Securities Industry Essentials (SIE), Series 7, Series 24, and Series 63 exams.
Our firm evaluates the records of advisors like Matt Ward using our insider knowledge as former Wall Street defense attorneys, bringing over 95 years of combined securities law experience to your side.
Red Flags: Investor Complaints and FINRA Actions
When considering entrusting your funds to any financial advisor, a careful review of their publicly reported history is critical. Matt Ward’s BrokerCheck profile (available here) and regulatory records disclose several noteworthy events:
| Event | Date | Allegation | Outcome | Damages/Impact |
|---|---|---|---|---|
| Investor Complaint (Pending) | May 2026 | Breach of fiduciary duty as representative of Alliance Global Partners | Pending | $499,999 alleged losses |
| Investor Complaint (Settled) | 2016 | Unsuitable recommendations, unauthorized trading, churning (Euro Pacific Capital) | Settled | $25,000 settlement to investor |
| FINRA Disciplinary Action | 2024 | Exercising discretion in customer accounts without written authorization | Suspended 15 days; $5,000 fine | Regulatory record impairment |
Details of the Complaints & Actions
- $499,999 Pending Complaint (2026):
- Filed by an investor who accused Matt Ward, while at Alliance Global Partners, of breaching his fiduciary duty. This is a serious charge often involving conflicts of interest or failure to act in the client’s best interests.
- The case remains pending, with the client seeking nearly half a million dollars in damages for alleged losses.
- 2016 Settled Complaint:
- Brought when Ward was at Euro Pacific Capital, this complaint alleged unsuitable investment recommendations, unauthorized trades, and churning (excessive trading for commissions).
- The case settled for $25,000 paid to the investor, an indicator of merit in the claims.
- 2024 FINRA Disciplinary Action:
- FINRA found that Mr. Ward used discretion in client accounts without obtaining the required prior written authorization and without proper firm approval. Exercising such discretion without authorization undermines essential compliance safeguards and opens clients to undue risk.
- As a result, Mr. Ward received a 15-day suspension and $5,000 fine from FINRA.
Why These Issues Matter
As seasoned investor advocates, our attorneys know that patterns of unauthorized trading, unsuitable recommendations, and regulatory discipline may signal deeper problems. A pending six-figure fiduciary complaint is especially concerning, potentially indicating substantial investor losses. Even short regulatory suspensions and modest fines reveal enforcement priorities and breaches of client trust.
Advisors must always place their clients’ interests first, provide only suitable advice, and adhere to strict regulatory requirements. Repeated failures in these areas demand further scrutiny and present an opportunity for harmed investors to pursue recovery of their losses.
What Should Impacted Investors Do Next?
If you worked with Matt Ward in Santa Monica, California, at Alliance Global Partners and have observed unexpected losses, suspicious trading, or unexplained activity in your account, you could have real grounds for recovering your funds. Our attorneys have a 98% success rate across hundreds of investor cases, have helped handle over $520 million in securities matters, and are routinely recognized as Super Lawyers and rated in the Top 2% of attorneys (Martindale-Hubbell AV Preeminent). We leverage our insider Wall Street knowledge to aggressively fight for client recoveries.
Remember: We operate strictly on a No recovery, no fee basis and offer completely confidential consultations. You are not alone. Our proven team can help you pursue recovery, closure, and peace of mind.
Arrange a Free, Confidential Legal Consultation
- Contact our team at 1-888-885-7162
- Or fill out our secure online form for a tailored, private case evaluation
Our attorneys will listen to your story, carefully analyze your account history, and advise you about your best options. You have nothing to lose and possibly much to recover. Call us now to begin reclaiming your financial security.
