MATTHEW M. DOOLEY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MATTHEW M. DOOLEY (CRD No. 2507851), Respondent. Disciplinary Proceeding No. 20090209303-01 Hearing Officer - Sara Nelson Bloom AMENDED DEFAULT DECISION November 3,2011 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to provide information, in violation of FINRA
06/15/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Matthew M. Dooley (CRD No. 2507851), Respondent. DISCIPLINARY PROCEEDING NO. 20090209303-01 COMPLAINT Complainant alleges: SUMMARY 1. Respondent Matthew M. Dooley made numerous unsuitable recommendations of inverse, leveraged exchange traded funds (ETFs) to two customers over the course of approximately one year. He also
Reference 2009020930301data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2507851 |
Other names1
Also known as1
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