The allegations read: Without admitting or denying the findings, matson consented to the sanction and to the entry of findings that he refused to provide documents and information requested by finra in connection with its investigation into a customer's investments in promissory notes recommended by matson. The findings stated that this matter originated from an 80-year-old customer's call to the finra securities helpline for seniors in which the customer advised that matson had recommended the customer invest in a promissory note and had thereafter ceased making promised interest payments on the note.
