Matthew Remis (CRD #: 5949597), a registered investment adviser with Boston Private Wealth, is the subject of a Massachusetts regulatory action, according to his Investment Adviser Public Disclosure record, accessed on March 22, 2021. Remis is also a previously registered broker.
On March 3, 2021, the Massachusetts Securities Division sanctioned Matthew Remis. The regulator stated that they would allow his registration as an investment adviser to continue under the condition that he spend two years under heightened supervision. They issued this sanction in light of Remis’s three disclosures.
On November 29, 2020, an investor alleged that Remis executed unauthorized trades. The investor sought $30,000; the dispute settled for $25,000.
On June 29, 2020, Matthew Remis voluntarily resigned from his position at Morgan Stanley Wealth Management following allegations that he had not contacted certain clients before executing trades in their account. The firm further alleged that Remis incorrectly marked certain trades as unsolicited.
Remis has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered investment adviser in Massachusetts.
During his eight years of experience, Matthew Remis has worked at the following firms:
- Boston Private Wealth (CRD #: 172832)
- Morgan Stanley (CRD #: 149777)
If Matthew Remis was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.