Gregory Matthews, Morgan Stanley Advisor, Barred by FINRA

Broker Investigation: Gregory Matthews Barred by FINRA

The White Law Group is investigating former broker Gregory Matthews (CRD #1389823), also known as Greg Matthews, following a recent bar by the Financial Industry Regulatory Authority (FINRA).

According to public records, Matthews was barred in February 2026 after he refused to provide information and documents requested under FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010. As a result, he is prohibited from associating with any FINRA member firm in any capacity.

FINRA Bar for Failure to Cooperate (Rule 8210)

FINRA Rule 8210 requires registered representatives to provide documents and information during regulatory investigations. When a broker refuses to comply, FINRA frequently imposes the most severe sanction available — a permanent bar from the securities industry.

In Matthews’ case, FINRA found that:

• He refused to provide requested documents and information

• The refusal constituted violations of FINRA Rules 8210 and 2010

• He is now barred from associating with any FINRA member firm

A refusal to cooperate prevents regulators from fully investigating potential misconduct and is treated as a serious breach of industry obligations.

Employment Separation from Morgan Stanley

Matthews was most recently associated with Morgan Stanley (CRD #149777) in New York from May 2016 through June 2025.

He was discharged amid allegations involving:

• Exercising discretion without prior written authorization in four customer accounts

• Frequency of trading concerns

• Questions regarding the accuracy of order tickets marked “unsolicited”

Although disclosure records note that no customers had lodged complaints with the firm at the time of termination, such allegations can raise serious supervisory and compliance issues. Discretionary trading without written authorization and improper marking of trades can be red flags for potential unsuitable trading or churning concerns.

Extensive Employment History – 16 Firms Over 38 Years

Matthews has approximately 38 years of industry experience and has been registered with 16 different brokerage firms throughout his career, including:

• Morgan Stanley

• Oppenheimer & Co. Inc.

• Auriga USA, LLC

• StormHarbour Securities LP (later expelled by FINRA in 2023)

• Jefferies & Company, Inc.

• Cantor Fitzgerald & Co.

• Merrill Lynch, Pierce, Fenner & Smith Incorporated

Frequent transitions between firms are not inherently misconduct; however, investors often review employment history as part of evaluating a broker’s professional background.

Prior Disclosures

According to his FINRA BrokerCheck profile,  Matthews has reported disclosures, including:

• A Regulatory matter (2004)

• A Customer Dispute for allegations of churning and unauthorized trading (2004 – settled)

• A 2025 Employment Separation After Allegations

Investors reviewing a broker’s background should carefully examine the nature of disclosures and regulatory history.

What This Means for Investors

A FINRA bar is one of the most serious sanctions in the securities industry. When a broker refuses to cooperate with regulators, investors are left without full transparency into the underlying conduct being investigated.

If you invested with Gregory Vincent Matthews and have concerns about:

• Excessive trading

• Unauthorized discretion

• Unsuitable investment recommendations

• Marking trades as “unsolicited” when they were recommended

• Investment losses in managed accounts

you may have legal options.

Most disputes between investors and brokerage firms are resolved through FINRA arbitration, not court litigation.

Contact The White Law Group

With offices in Seattle and Chicago, The White Law Group represents investors nationwide in securities fraud and broker misconduct claims. Our attorneys handle claims involving:

• Unauthorized trading

• Churning and excessive trading

• Failure to supervise

• Unsuitable recommendations

• Breach of fiduciary duty

If you have suffered investment losses while working with Gregory Matthews or any of the firms listed above, contact The White Law Group today for a free consultation to discuss your potential recovery options.

Call 888-637-5510 or visit whitesecuritieslaw.com.