RIA Matthew Philip Amos Barred for Forging Signature

RIA Matthew Philip Amos Barred for Forging SignatureMatthew Philip Amos (CRD#: 1177946) is a former investment advisor. From July 2001 to July 2018, Mr. Amos was a representative with PFA Security Asset Management in Camp Hill, Pennsylvania.

In 2018, he was terminated by this brokerage firm after he admitted to forging a signature and falsifying a document.

On January 25th, 2019, FINRA indefinitely barred former PFA Security broker Matthew Phillip Amos from the industry for knowingly failing to cooperate with an investigation into the allegations against him (Letter of Acceptance, Waiver and Consent No. 2018059328901).

Barred Broker: Matthew Philip Amos

FINRA opened up an investigation into the conduct of Matthew Philip Amos after learning that his employer terminated him, at least in part, because he submitted a false document that contained a forged signature. This document was connected to a variable annuity transaction.

Soon after receiving the Form U5 from his brokerage firm — in which Mr. Amos allegedly admitted to the forgery — FINRA sought additional documents and testimony directly from this broker. However, Matthew Amos declined to provide the information that was requested by regulators.

Under FINRA Rule 8210, brokers have a professional responsibility to cooperate with securities industry investigations. Without admitting responsibility or admitting any wrongdoing, Mr. Amos consented to a bar from associating with any FINRA member in any capacity.

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