Haselkorn & Thibaut is investigating allegations against Matthew Copley, a San Diego-based financial advisor registered with Emerson Equity and operating Copley Financial Group. Recent disclosures on his FINRA BrokerCheck record list two pending investor complaints filed in September 2025 that raise concerns about his business practices and compliance with fiduciary and consumer-protection obligations. These are allegations only and have not been proven or adjudicated.
Quick facts
Table of Contents
- Advisor: Matthew Copley (CRD# 6247665)
- Location: San Diego, California
- Broker/Advisor affiliations: Emerson Equity (broker since 2020), Copley Financial Group (investment adviser since 2016)
- Prior affiliation: Gradient Advisors (2013–2016)
- Regulatory record current as of: October 25, 2025
Background & Credentials
Matthew Copley has over a decade in the securities industry and holds multiple licensing qualifications:
- Series 7TO — General Securities Representative
- Series 22TO — Direct Participation Programs Representative
- Series 24 — General Securities Principal
- Series 63 — Uniform Securities Agent State Law Exam
- Series 66 — Uniform Combined State Law Exam
- Series 99TO — Operations Professional Exam
While these credentials show knowledge of securities products and rules, they do not guarantee appropriate conduct or insulate an advisor from regulatory or civil claims.
Summary of Investor Complaints (September 2025)
FINRA BrokerCheck lists two separate pending complaints against Copley, both filed in September 2025:
Complaint #1 — Real estate investment (alleged damages: $688,536.32)
- Allegations include:
- Breach of fiduciary duty
- Misrepresentation and omission of material facts
- Violations of state and federal securities laws
- Breach of contract
- Violations of FINRA rules and Kansas law
Complaint #2 — Consumer protection & Reg BI (alleged damages: $100,000–$500,000)
- Allegations include:
- Breach of contract
- Violations of the Consumer Protection and Deceptive Practices Act
- Violations of Regulation Best Interest (Reg BI)
Combined alleged damages exceed $788,000 and could potentially surpass $1.1 million depending on final claims.
Red Flags Investors Should Note
When reviewing an advisor’s regulatory history, consider:
- Timing and volume: Two complaints filed the same month can indicate a pattern rather than isolated issues.
- Nature of allegations: Claims involve core obligations — fiduciary duty, truthful disclosure, and adherence to Reg BI — not simple paperwork errors.
- Financial impact: Large alleged damages indicate potentially substantial investor harm.
- Jurisdictional reach: References to Kansas law and federal rules suggest the complaints may affect investors outside California.
If You Worked with Matthew Copley: Your Rights & Next Steps
- Know your rights: Investors are entitled to truthful disclosures and recommendations made in their best interest.
- Losses ≠ misconduct: Market losses alone don’t prove wrongdoing. But misrepresentation, omissions, or conflicts of interest paired with losses may provide grounds for recovery.
- Preserve records: Save account statements, written communications (emails, texts), trade confirmations, and offering documents. Evidence degrades over time.
- Time limits: Securities claims are time-sensitive; consult counsel promptly to protect your rights.
Why Hire a Securities Attorney?
Haselkorn & Thibaut is a national securities fraud law firm with more than 50 years of experience representing investors in FINRA arbitration and other securities claims. Experienced securities lawyers:
- Know how to analyze account activity and communications for violations of Reg BI, fiduciary duty, and securities laws.
- Understand FINRA arbitration and civil litigation strategies to pursue recovery.
- Often work on contingency — no recovery, no fee — making representation accessible without upfront costs.
Haselkorn & Thibaut reports a 98% success rate for recovered funds and has recovered millions for investors nationwide. (Past results do not guarantee future outcomes.)
Free, Confidential Consultation
If you invested with Matthew Copley through Emerson Equity or Copley Financial Group and experienced losses or suspicious recommendations, Haselkorn & Thibaut offers a free, confidential consultation to evaluate your potential claim.
Call now: 1-888-628-5590
No recovery, no fee. Confidential review.
Information current as of October 25, 2025. This article is based on publicly available FINRA BrokerCheck disclosures. Complaints listed are allegations and have not been proven or adjudicated unless otherwise indicated.
