MATTHEW C. KATKE (CRD# 4679645) a 34 year-old former trader with Royal Bank of Scotland Group (RBS) Stamford, Connecticut, pleaded guilty in a Connecticut Federal Court to conspiracy to commit securities fraud for participating in a multi-million dollar securities fraud scheme. This was announced by the U.S. Attorney for Connecticut and the FBI. Katke is a registered broker-dealer and managing director at a securities firm. Matthew Katke currently resides in New York. This scheme, designed to cheat clients who bought and sold bonds, cost approximately 20 of clients millions of dollars.
According to the prosecutors, from 2008 - June 2014, Katke and co-conspirators allegedly made misrepresentations to buying customers to pay inflated prices, and sellers to accept the deflated prices for bonds. Along with his guilty plea, Katke has agreed to cooperate with the government's investigation. Katke faces up to five years in prison.
According to FINRA's BrokerCheck, currently, MATTHEW C. KATKE has been registered with the following firm since 08/2013:
NOMURA SECURITIES INTERNATIONAL, INC. (CRD# 4297)
WORLDWIDE PLAZA, 309 WEST 49TH STREET, NEW YORK, NY 10019
MATTHEW C. KATKE was previously registered with the following firms:
07/2008 - 06/2013 RBS SECURITIES INC. (CRD# 11707) - STAMFORD, CT
08/2003 - 07/2008 BEAR, STEARNS & CO. INC. (CRD# 79) - NEW YORK, NY
If you've experienced financial losses in this or other securities/bond schemes, call the Soreide Law Group for a consultation with an attorney at no cost on how to potentially recover your investment losses at 888-760-6552. We represent our clients nationwide.
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