FINRA Bars Gregory Vincent Matthews for Refusing to Provide Records in Termination Investigation
The Financial Industry Regulatory Authority (FINRA) has barred Gregory Vincent Matthews (CRD #1389823) of New York, New York, from associating with any FINRA member firm in any capacity after he refused to provide documents and information during a regulatory investigation.
On February 18, 2026, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case #2025086337101. Without admitting or denying the findings, Matthews consented to the sanction and to the entry of findings.
Investigation into Firm Discharge
According to FINRA, the investigation focused on the circumstances surrounding Matthews’ discharge from his member firm.
Regulatory reviews following a broker’s termination often examine whether any violations of firm policies or industry rules occurred, including potential misconduct that may have impacted customers or the firm.
Refusal to Provide Requested Documents
As part of its investigation, FINRA requested that Matthews provide documents and information pursuant to its authority under FINRA Rule 8210.
The findings state that Matthews refused to provide the requested materials. A refusal to comply with FINRA’s requests is considered a serious violation because it prevents regulators from fully evaluating potential misconduct and ensuring investor protection.
As a result of his refusal to cooperate, Matthews was permanently barred from associating with any FINRA member firm in all capacities.
Importance of Cooperation in Regulatory Investigations
FINRA relies on cooperation from registered individuals to investigate potential misconduct and enforce compliance with industry standards. When individuals refuse to provide requested information, it obstructs oversight and may lead to the most severe disciplinary outcome—a permanent industry bar.
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