Matthew Allen Trueg (CRD #6790614, Cedar Falls, Iowa)

March 31, 2022 – An AWC was issued in which Trueg was fined $5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings, Trueg consented to the sanctions and to the entry of findings that he affixed customer signatures on account forms. The findings stated that in each instance, Trueg copied the customer’s signature from an older form the customer previously signed and pasted it onto a form that required an updated customer signature. Trueg then submitted the altered forms to his member firm to complete transactions the customers requested. There is no indication that Trueg affixed the signatures to the account forms without his customers’ consent. Each customer later re-signed the documents. In addition, some of the account documents were new account agreements and authorizations, which were firm records. By engaging in this conduct, Trueg caused the firm to maintain inaccurate books and records. The suspension is in effect from April 4, 2022, through June 3, 2022. (FINRA Case #2021072361901)