About
Who We Are
Testimonials
Disclaimers
Attorneys
For Advisors
Broker Transition
Transition Contract Review
Employment Matters
State Registration Problems & Discipline
FINRA Matters
Promissory Note Matters
CFP Board Matters
FINRA Enforcement Matters
State Registration Problems & Discipline
Transition Contract Review
Broker Litigation & Arbitration
Employment Matters
Regulatory Matters
Strategic Consulting
Whistleblower Law
Promissory Note Matters
Compliance Protection
Lawyer Referral Network
Expungement of CRD/BrokerCheck Disclosures
For Investors
Securities Fraud
Breach of Fiduciary Duty
Retirement Planning Negligence
Unauthorized Trading
Lawyer Referral Network
News & Articles
News
Articles
Financial Counsel Blog
Videos
Newsletter Signup
Contact
Site Menu
About
Attorneys
For Advisors
For Investors
News & Articles
Contact

Former RBS Securities Broker Under Investigation

Posted on April 2nd, 2015 at 4:01 PM
Former RBS Securities Broker Under Investigation

From the Desk of Jim Eccleston at Eccleston Law LLC:

A former RBS Securities broker is under investigation by FINRA for investment fraud.

According to FINRA, Matthew C. Katke traded fixed income investment securities, such as residential mortgage-backed securities (RMBS) and collateralized loan obligations (CLOs) at the expense of customers. He also allegedly made misrepresentations to convince customers to pay inflated prices and selling customers to accept deflated ones. At least 20 clients allegedly were victims in his scheme. Before being registered with RBS, Katke was with Bear, Stearns & Co., Inc. in New York, New York. He currently is registered with Nomura Securities International, Inc., also in New York, New York. 

The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services.

Related Attorneys: James J. Eccleston

Tags: FINRA, RBS, James Eccleston, Eccleston Law

Return to Archive

Request a Free Consultation

Attorneys are standing by during regular business hours. Call us now for immediate service, or complete the form below and we will contact you as soon as possible.

 
Chicago
55 West Monroe St.
Suite 610
Chicago, Illinois 60603
(312) 332-0000
(312) 332-0003
New York City
One Liberty Plaza
165 Broadway, 23rd Floor
New York, New York 10006
(212) 203-9169
(312) 332-0003
Sarasota
240 South Pineapple Ave.
6th Floor
Sarasota, Florida 34236
(941) 363-6657
(312) 332-0003
Boca Raton
2255 Glades Road
Suite 324A
Boca Raton, Florida 33431
(312) 332-0000
(312) 332-0003
2018 © Eccleston Law, LLC.
All Rights Reserved.
The law is continuously changing. Please do not rely on information found on this site without consulting a lawyer to determine if any recent changes in the law may have an impact.